USPTO Patents Application 09870801

Intel-Trust Tech, Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

^^^^^^

piss

i es

Lacy, Jack; Snyder, James; Maher, David; "Music on the Internet and the
Intellectual Property Protection Problem"

Y

Yes

'The PowerTV White Paper", powertv.com website, Oct. 11, 1996

Y

Yes

Coutrot, Francois; Michon, Vincent; "A Single Conditional Access System for
Satellite-Cable and Terrestrial TV" IEEE Transactions on Consumer Electronics,
Vol. 35. No. 3. Aue. 1989

Y

Yes

'ISO 8583: Financial transaction card originated messages * Interchange message
specifications", ISO, Dec. 15, 1993

Y

Yes

Harty, Kieran; Ho, Linda; "Case Study: The VISA Transaction Processing
System", May 30, 1988

Y

Yes

U.S. 4,584,639; Apr. 22, 1986

Yes

Denning, Dorothy E.; "Secure Personal Computing in an Insecure Network",
Comm. of the ACM, Vol. 22, No. 8, Aug, 1979

Yes

Muftic, Sead; "Security Mechnisms for Computer Networks", Computer
Communications and Networking, 1989

Y

Yes

Kim, Gene H.; Spafford* Eugene H.; *The Design and Implementation of Tripwire:
A File System Integrity Checker", COAST Laboratory, Purdue University, Nov.
19, 1993

Y

Yes

Choudhury, Abhijit K.; Maxcmchuk, Nicholas F.; Paul, Sanjoy; Schulzrinne,
Henning G.; "Copyright Protection for Electronic Publishing Over Computer
Networks", IEEE Network, May/Jun.. 1995

Yes

Dennine. Dorothv E.R.: Crvptoreraohv and Data Security. Addison-Wesley
Publishing Company, 1982, Reprinted with corrections, Jan. 1983

Yes

Hellman; "Multi-user Cryptographic Techniques"

Yes

Diffle, Whitfield; Hellman, Martin E; "New Directions in Cryptography", Stanford
University, 1976

Y

Yes

Kohl, J.; Neuman, C; "The Kerberos Network Authentication Service (V5)'\
Network Working Group RFC 1510, Sep. 1993

Yes

Diffie, Whitfield; van Oorschot, Paul C; Weiner, Michael J.; "Authentication and
Authenticated Key Exchanges", Sun Microsystems and Bell-Northern Research,
Mar. 6. 1992

I cs

Diffie, Whitfield; "The First Ten Years of Public-Key Cryptography", Proceedings
of the IEEE, Vol 76. No. 5, May. 1988

Yes

Kohnfeider, Loren M.; "Towards a Practical Public-Key Cryptosystem", May,
1978

Yes

Kaliski, Jr., Burton S.; "A Layman's Guide to a Subset of ASN.l, BER, and DER",
RSA Laboratories Technical Note, 1991. Revised Nov. 1. 1993

Y

Yes

"PKCS #7: Cryptographic Message Syntax Standard", RSA Laboratories Technical
Note, Ver. 1.5, Revised Nov. 1, 1993

Yes

Walker, Stephen; "Notes from RSA Data Security Conference", Trusted
Information Systems, Jan. 18, 1994

Y

Yes

Tygar, J.D.; Yee, Bennet; "Cryptography: It's Not Just for Electronic Mail
Anymore", Carnegie Mellon University Tech. Report CMU-CS-93-107, Mar. 1,
1993

Yes

U.S. 4,658,093; Apr. 14,1987

Y

Yes

U.S. 4,405,829; Sep. 20, 1983

Y

Yes

Schneier, Bruce; Applied Cryptography: Protocols, Algorithms, and Source Code
in C. John Wiley & Sons, Inc., 1994

* Any possible "Vs that were missed shall not negate the anticipatory nature of a reference, particularly where
there js a chart in Appendix B. 1

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

Popek, Gerald J.; Kline, Charles S.; "Encryption and Secure Computer Networks".
ACM Computing Surveys, Vol. 1 1 , No. 4, Dec. 1979

Yes

Diffie, Whitfield; Hellman, Martin E; "New Directions in Cryptography", Stanford
University, 1976

Yes

Castano, Silvana; Fugini, Mariagrazia; Martella, Giancarlo; Samarati, Pierangela;
Database Security. ACM Press, 1994

Y

Yes

Thuraisingham, M.B.; "Mandatory Security in Object-Oriented Database Systems 0 ,
OOPSLA '89 Proceedings, ACM, Oct. 1-6. 1989

Y

Yes

Olivier, Martin S.; von Solms, Sebastiaan H.; "A Taxomonmy for Secure Object-
Oriented Databases", ACM Transactions on Database Systems, Vol. 19, No. 1,
Mar. 1994

Y

Yes

Olivier, M.S.; von Solms, S.H.; "Building a Secure Database Using Self-Protecting
Objects", Computers & Security, Vol. 11, No. 3, 1992

Y

Yes

Olivier, M.S.; von Solms, S.H.; "DISCO: A Discretionary Security Model for
Object-oriented Databases", IT Security: The Need for International Cooperation,
Elsevier Science Publishers B.V., 1992

Y

Yes

Oliver, Martin S.; "Secure Object-oriented Databases* 1 , Thesis for the degree of
Doctor of Philosophy in Computer Science, Rand Afrikaans University, Dec. 1991

Yes

R. Ahad, et al.; IRIS, 1992

Y

Yes

ORION Llca. ITASCA, MCC-Austin TX & Itasca Corp., 1985-1995

Y

Yes

Olivier, Martin S.; SECDB, 1990-1995

Y

Yes

THOR: A Distributed Object-Oriented Database System". MIT

Y

Yes

Miilen, Jonathan K.; Lunt, Teresa F.; "Security for Object-Oriented Database
SYStems", IEEE 0-8186-2825-1; 1992

Yes

Choy, D.M. et al.; "A Digital Library System for Periodicals Distribution", May
1996

Y

Yes

Mathy, Laurent; "Features of The ACCOPI Multimedia Transport Service",
Lecture Notes in Computer Science, No. 1045, Proc. Of European Workshop
IDMS'96, Mar. 1996;

"Access Control and COpyright Protection for Images Security Technology for
Graphics and Communication Systems - RACE M1005: ACCOPI", webpage,
Security Projects at Fraunhofer-IGD, 2002;

ACCOPI RACE Project M1005 Warning of ACCOPI web pages removal, UCL

T .flhrtrflfnjrfr Hp tftWrwrnni mirations ftt tftlfd* l t * rrinn

Y

Yes

"The Amide Products" web page;

"Forum on Technology-Based Intellectual Property Management - Electronic
Commerce for Content", IMA Intellectual Property Proceedings, Vol. 2, Jun. 1996

Y

Yes

Van Slype, Georges; "Natural Language Version of the generic CITED model ~
Vol. I: Presentation of the generic model, ver. 3.0"; and "Vol II: CITED usage
monitoring system design for computer based applications, ver. 1.0", Project 5469,
The CITED Consortium, Seo. 6. 1993

* Any possible T's that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 2

InterTrust Tech* Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

"Technological Strategies for Protecting Intellectual Property in the Networked
Multimedia Environment*, IMA Intellectual Property Proceedings, Vol. 1, Issue 1,
Jan. 1994

Y

Yes

COPICAT - 8195: "Copyright Ownership Projection in Computer- Assisted
Training", ESPRIT, Dec. 1993;

Kelman, Alistair; "Electronic Copyright Management: Possibilities and Problems",
Scientists for Labor Presentation, Nov. 14. 1996

Y

Yes

Griswold, Gary N.; H A Method for Protecting Copyright on Networks", IMA
Intellectual Property Proceedings, Vol 1, Issue 1, Jan. 1994

Yes

Erickson, John S.; *A Copyright Management System for Networked Interactive
Multimedia", Proceedings of the 1995 Dartmouth Institute for Advanced Graduate
Studies. 1995

Yes

Bums, Christopher; "AAP Draft: Local Access and Usage Controls", Association
of American Publishers Report, Apr. 13, 1995

Y

Yes

Choudhury, A.K.; Maxenchuk, N.F.; Paul, S.; Schulzrinne, H.G.; "Copyright
Protection for Electronic Publishing over Computer Networks", Submitted to IEEE
Network Magazine^ Jun. 1994

Yes

Wayner, Peter; Digital Copyright Protection, Academic Press, 1997

Yes

"Cryptolope Containers Technology: A White Paper", IBM InfoMarket Business
Development Group

Yes

"Digital Rights Enforcement and Management: SuperDistribution of Cryptolopes",
IBM

Yes

Kaplan, Marc A.; "IBM Cryptolopes, SuperDistribution and Digital Rights
Management", IBM, Dec. 30, 1996

Yes

IP Workshop - CUPID: "Protocols and Services (ver. 1): An Architectural
Overview", CNI, last update Nov. 20, 1997

Y

Yes

Patent Application EP 0 567 800 Al; Nov. 3, 1993

Y

Yes

Sibert, Olin; Bernstein, David; Van Wie, David; "The DigiBox: A Self-Protecting
Container for Information Commerce", First USENIX Workshop on Electronic
Commerce, Jul. 1 1-12, 1995

Y

Yes

Willett, Shawn; "Metered PCs: Is your system watching you?; Wave Systems beta
tests new technology", IDG Communications, Inc. InfoWorld, May 2, 1994

Y

Yes

Weber, Robert; "Metering Technologies for Digital Intellectual Property - A
Report to the International Federation of Reproduction Rights Organisations",
International Federation of Reproduction on Rights Organisations, Northeast
Consulting Resources, Inc.. Oct 1994

Y

Yes

TULIP Final Report, ISBN 0-444-82540- 1 f 1991, revised Sep. 18, 1996

Yes

U.S, 5,634,012; May 27, 1997

Yes

U.S. 5,715,403; Feb. 3,1998

Yes

U.S. 5,845,281; Dec. 1, 1998 (For Priority, Feb. 1, 1995)

Y

Yes

Brin, Sergey; Davis, James; Garcia-Molina, Hector; "Copy Detection Mechanism
for Digital Documents", Stanford University

Y

Yes

Weber, Robert; "Digital Rights Management Technologies - A Report to the
International Federation of Reproduction Rights Organisations", Northeast
Consulting Resources, Inc., Oct. 1995

* Any possible "Vs that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 3

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

Erickson, John S.; "Rights Management Through Enhanced Attribution'*, Presented
at INET 96 ProceedinRs. Jun., 1996

Yes

White* James E.; "Telescript; The Foundation for the Electronic Marketplace",
Ver. 5.0, General Magic, Inc., Nov. 30, 1993

Yes

Ketchpel, Steve P.; Garria-Molina, Hector; Paepcke, Andreas; "Shopping Models:
A Flexible Architecture for Information Commerce", Stanford University

Vpc

I es

Lagoze, Carl; "A Secure Repository Design for Digital Libraries", D-Lib
Magazine, Dec. 1995

Y
I

i es

"Introduction to Smart Cards v. 1.0", Gempius Card International, Mar, 21, 1991

Yes

Abadi, M.; Burrows, M.; Kaufman, C; Lampson, B.; "Authentication and
Delegation with Smart-cards", Digital Equipment Corporation

Y

Yes

Tygar, J.D.; Yee, Bennet; ''Dyad: A System for Using Physically Secure
Coprocessors", IMA Intellectual Property Project Proceedings, Vol. 1, Issue 1, Jan.
1994

I Ca

St Johns, M.; "Draft Revised IP Security Option", Network Working Group, RFC
1038. Jan. 1988

I Co

Galvin, I; McCloghrie, K.; Davin, J.; "SNMP Security Protocols", Network
Working Group RFC 1352. Jul., 1992

Yes

U.S. 5,163,091; Nov. 10, 1992

Yes

U.S. 5,355,474; Oct. 11 1994

Y

Yes

U.S. 5,678,170; Oct. 14, 1997

Yes

U.S. 5,765,152; Jun. 9,1998

Yes

Shear. Victor; "Solutions for CD-ROM Pricing and Data Security Problems"

Yes

Williams, Tony; "Microsoft Object Strategy", Microsoft PowerPoint presentation,
1990

Y

Yes

"OLE 2.0 Draft Content Object Linking & Embedding", Microsoft, Jun. 5, 199 1

Yes

"Multimedia System Services Ver. 1.0", Hewlett-Packard, IBM, & SunSoft, 1993

Yes

Draft "Request for Technology: Multimedia System Services", Ver. 1.1, Interactive
Multimedia Association Compatibility Proiect, Oct 16, 1992

Yes

Request tor Technology: Multimedia System oemces , ver. z.u, interactive
Multimedia Association Compatibility Project, Nov. 9, 1992

Yes

Wobber, Edward; Abadi, Martin; Burrows, Mike; Lampson, Butler;
"Authentication in the Taos Operating System", Digital Equipment Corporation,
Dec. 10, 1993

Yes

Custer. Helen: Inside Windows NT. Microsoft Press, pages 26-42 and 329-330,
1993

Y

Yes

Dynamic linking of SunOS

Y

Yes

Blaze, Matt, "A Cryptographic File System for Unix", preprint of paper to be
presented at First ACM Conference on Communications and Computing Security,
Nov. 3-5, 1993

Yes

Gamble, Todd; "Implementing Execution Controls in Unix", USENDC Association,
Proceedings of the Seventh Systems Administration Conference (LISA VII), Nov,
1-5, 1993

* Any possible T's that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 4

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

Garfinkel. Simson: Soafford. Gene; Practical Unix Security. OReiliy & Associates,
Inc., 1994

Yes

Blaze, Matt; loannidis, John; "The Architecture and Implementation of Network-
Layer Security Under Unix", Columbia University and AT&T Bell Laboratories,
1994

Yes

Sandhu, Ravi S.; "The Typed Access Matrix Model", Proceedings of TEES
Symposium on Security & Privacy, May 4-6, 1992

Yes

Currv. David A.: Unix System Security: A Guide for Users and System
Administrators, Addison- Wesley, 1992

Y

Yes

FreeBSD System manager's Manual ,I LDCONFIG", Oct. 3, 1993

Yes

"Requirements for the Software License Management System", System
Management Work Group. Rev. 3, Unix International, Jul. 23, 1992

Y

Yes

Film canister

Y

Yes

Safety deposit box

Yes

Central Point Anti-Vims, Central Point Software, 1993

Yes

Symantec Anti- Virus for Macintosh (a.k.a. SAM), Symantec, 1993

Y

Yes

VirusCheck and VirusScan, McAfee, 1993

Yes

Goodman, Bill; Compactor Pro

Yes

Enigma V.25

Yes

Stufflt Deluxe v.1.5, v.3.0 f v.3 J, Aladdin Systems, 1988-1994

Y

Yes

Harris, Jed; Ruben, Ira; "Bento Specification", Rev. 1.0d5, Apple Computer, Jul.
15, 1993

Yes

Koenig, Andrew; "Automatic Software Distribution", USENIX Summer
Conference Proceedings, Jun. 12-15, 1984

Yes

Microsoft Internet Explorer v.2.0

Yes

Think C: Obiect-Oriented Programmine Manual, Symantec Corporation, 1989

Yes

Think Pascal User Manual, Symantec Corporation, 1990

Y

Yes

Mori, Ryoichi; Kawahara, Masaji; "Superdistribution: The Concept and the
Architecture", The Transactions of the IEICE, Vol. E 73, No. 7, Jul., 1990

Yes

Epstein, Jeremy; Shugerman, Marvin; "A Trusted X Window System Server for
Trusted Mach\ USENDC Association, Mach Workshop, Aug. 30. 1990

Yes

McCollum, Catherine J.; Messing, Judith R.; Notargiacomo, LouAnna; "Beyond
the Pale of MAC and DAC -- Defining New Forms of Access Control", IEEE, 1990

Yes

Abrams, MarshaD D.; "Renewed Understanding of Access Control Policies",
Proceedings of the 16th Computing National Security Conference, 1993

Yes

Blaze, Matt; Feigenbaum, Joan; Lacy, Jack; "Decentralized Trust Management",
Proc. TREE Conference on Security and Privacy, May 1996

Y

Yes

Chaum, David; "Achieving Electronic Privacy", Scientific American, Aug. 1992

Yes

UniverCD: The interactive, online library of product information from Cisco
Systems, Cisco Systems, 1993

Y

Yes

DCE

Yes

Fine, Todd; Minear, Spencer E.; "Assuring Distributed Trusted Mach", Secure
Computing Corporation

Yes

U.S. 5,412,717; May 2, 1995

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 5

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

X cs

Fugini, M.G.; Zicari, R.; "Authorization and Access Control in the Office-Net
System", Computer Security in the Age of Information. IF1P, 1989

Yes

Abadi, M.; Burros, M.; Lampson. B.; Plotkin, G.; "A Calculus for Access Control
in Distributed Systems", Digital Equipment Corporation, Feb. 28, 1991, revised
Aup.28. 1991

Y

Yes

Lampson, Butler; Abadi, Martin; Burrows, Michael; Wobber, Edward;
"Authentication in Distributed Systems: Theory and Practice", Digital Equipment
Corporation, 1992

Yes

Rivest, Ronald L.; Lampson, Butler; "SDSI - A Simple Distributed Security
Infrastructure". MIT and Microsoft Corporation, Apr. 30, 1996

Yes

Thompson, Victoria P.; Wentz, R Stan; "A Concept for Certification of an Army
MLS Management Information System", Proceedings of the 16th National
Computer Security Conference. Sep. 20-23. 1993

Yes

Frederick, Keith P.; "Certification and Accreditation Approach", Air Force
Crvptoloeic Support Center (OL-FP)

Y

Yes

PCT Application WO 96/27155; Published Sep. 6, 1996

Yes

U.S. 5,910,987; Jun. 8, 1999

Y

Yes

Rozenblit, Moshe; "Secure Software Distribution", IEEE 0-7803-181 1-0/94, 1994

Y

Yes

Stefik. Mark: Internet Dreams: Archetypes. Myths, and Metaphors. "Letting Loose
the Light: Igniting Commerce in Electronic Publication", The MIT Press, 1996

Yes

AT&TPersonaLink, [Before Feb. 13, 19951

Yes

Neuman, B. Clifford; "Proxy-Based Authorization and Accounting for Distributed
Systems", Proceedings of the 13th Infl Conference on Distributed Computing
Systems, May 1993 —

Y

Yes

Tygar, J.D.; Yee, Bennet S.; (R. Rashid, ed.); "Strongbox: A System for Self-
Securing Programs'*

Yes

Yee, Bennet; Tygar, J.D.; "Secure Coprocessors in Electronic Commerce
Applications", Proceedings of the First USENIX Workshop on Electronic
Commerce, Jul. 1995

Yes

U.S. 4,278,837; Jul. 14, 1981

Yes

U.S. 3,806,874; Apr. 23, 1974

Y

Yes

U.S. 4,748.561; May 31, 1988

Y

Yes

U.S. 4,796,220; Jan. 3, 1989

Yes

U.S. 4,817,140; Mar. 28, 1989

Y

Yes

U.S. 4,866,769; Sep. 12, 1989

Y

Yes

U.S. 5,014,234; May 7, 1991

Y

Yes

U.S. 5.113,518; May 12, 1992

Yes

U.S. 5,204,897; Apr. 20, 1993

Yes

U.S. 5,218,605; Jun. 8, 1993

Y

Yes

U.S. 5,260,999; Nov. 9. 1993

Y

Yes

U.S. 5,291,598; Mar. 1,1994

Y

Yes

U.S. 5,337,357; Aug. 9, 1994

Yes

U.S. 5,421,006; May 30, 1995

Yes

U.S. 5,438,508; Aug. 1, 1995

Yes

U.S. 5,490 t 216;Feb. 6, 1996

Y

Yes

U.S. 5,603,031; Feb. 11,1997

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 6

InterTrust Tech, Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

I ; ;>:'-(. : ■ ■ y: \".. '•'}':').

Yes

U.S. 5,692,047; Nov. 25, 1997

Yes

U.S. 5,724,425; Mar. 3, 1998

Yes

U.S. 5,940,504; Aug. 17,1999

Yes

U.S. 5,978,484; Nov. 2, 1999

Yes

U.S. 6,016,393; Jan. 18,2000

Yes

Woo, Thomas Y.C.; Lam, Siman S.; "A Framework for Distributed Authorization",
IstConf Comnuter & romnL Securitv ACM Nov 1993

Yes

Sandhu, Ravi S.; Suri, Gurpreet S.; "Implementation Considerations for the Typed
At^epft Matrix Model in a Distributed Fnvironment* Proc Of the 15th National

Yes

O'Conner, Mary Ann; "New Distribution Options for Electontc Publishers; iOpencr
Data Encryption and Metering System for CD-ROM Use", CD-ROM Professional,
Vol 7. No. 2. ISSN 1409-0833, Mar. 1994

Yes

Herzberg, A; Karmi, G; "On Software Protection", Proceedings of the 4th
Jerusalem Conference on Information Technology (JCIT), BSE Computer Society
Press, Apr. 1984

Yes

Smith, Mary Grace; Weber, Robert; "A New Set of Rules for Information
Commerce* Riffhts-Protection Technologies and Personalized -Information
Comerce Will Affect All Knowledge Workers", CommunicationsWeek, Nov. 6,

tyy3 —

Y

Yes

DOD "Rainbow Series"

Yes

Rosenthal, Doug; "EINet: A Secure, Open Network for Electronic Commerce".
IEEE, 1994

Y

Yes

Patent Application EP 0 367 700 A2; May 9, 1990

Y

Yes

Hauser, R.; Bauknecht, K.; "LTTP Protection ~ A Pragmatic Approach to
Licensing", Institut fur Informatik, Univcrsitat Zurich, Jan. 13, 1994

Yes

"Multimedia Mixed Object Envelopes Supporting a Graduated Fee Scheme via
Encryption"; IBM Technical Disclosure Bulletin, Vol. 37, No. 3, Mar. 1994

Yes

Cox, Brad; ''No Silver Bullet Revisted", American Programmer Journal, Nov. 1995

Yes

"Privacy and the NH: Safeguarding Telecommunications-Related Personal
Information", U.S. Dept. of Commerce, Oct 1995

Yes

Joseph Ebersole, Protecting Intellectual Property Rights on the Information
oupernignways, Mar. iyy4

Y

Yes

Herzberg, Amir; Printer, Shlomit S.; "Public Protection of Software", ACM
Transactions on Computer Systems, Vol. 5, No. 4, Nov. 1987

Yes

Hickman, Kipp E.B.; SSL 2.0 Protocol Specification

Yes

Gosler. James: "Software Protection: Mvth or Realitv". Lecture Notes in Computer
Science, Advances in Crvotoloev - CrvDto '85 Proceedings, 1985

Yes

Aucsmith, David; "Tamper Resistent Software: An Implementation", IAL

Yes

U.S. Patent No. 5,671,279; Sept 23, 1997

Y

Yes

Kahn, Robert; Wilensky, Robert; "A Framework for Distributed Digital Object
Services". Corporation for National Research Initiatives, Mav 13. 1995

Y

Yes

Gasser, Morrie; Goldstein, Andy; Kaufman, Charlie; Lampson, B; "The Digital
Distributed Svstem Security Architecture". Proceedings of 1989 National
Computer Security Conference, 1989

* Any possible Ts that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 7

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

Neuman, B. Clifford; Ts'o, Theodore; "Kerberos: An Authentication Service for
Computer Networks", IEEE Communications Magazine. Sep. 1994

Yes

Reiher, Peter; Page, Jr., Thomas; Popek, Gerald; Cook, Jeff; Crocker, Stephen;
"Truffles — Secure File Sharing With Minimal Svstem Administrator Intervention".
UCLA, Trusted Information Systems

Y

Yes

Reiher, Peter; Page, Jr., Thomas; Popek, Gerald; Cook, Jeff; Crocker, Stephen;
"Truffles — A Secure Service for Widespread File Sharing" , UCLA, Trusted
Information Systems

Y

Yes

"ISO, Open Systems Interconnection: Security Architecture, ISO 7498/1", 1988

Y

Yes

"ISO, Open Systems Interconnection: Security Architecture, ISO 7498/2", ISO,
1988

Yes

U.S. 5,222,134; Jun. 22, 1993

Yes

Rindfrey, Jochen; "Security in the World Wide Web", Fraunhofer Institute for
Computer Graphics, Dec. 1996

Yes

Finin, Tim; Fritzson, Rich; McKay, Don; "A Language and Protocol to Support
Intelligent Agent Interoperability", Proceedings of the CE & CALS Washington '92

Y

Yes

Winslet, Marianne; Smith, Kenneth; Qian, Xiaolei; "Formal Query Languages for
Secure Relational Databases", ACM Transactions on Database Systems, Vol. 19,
Nn 4 Dee 1994

Yes

Jones, V.E.; Ching, N.; Wtnslett, M.; "Credentials for Privacy and Interoperation",
ITntver^itv of Illinois at Urbana-ChaninaieTi

Yes

Greenwald, Steven J.; Newman-Wolfe, Richard E.; "The Distributed Compartment
Model for Resource Management and Access Control" , Technical Report Number
TR94-035 The University of Florida Oct 1994

Y

Yes

Moffett, Jonathan D.; "Delegation of Authority Using Domain-Based Access
Rules", thesis, Imperial College of Science, Technology & Medicine, University of
London, Jul., 1990

Y

Yes

Lagoze, Carl; McGrath, Robert; Overly, Ed; Yeager, Nancy; "A Design for Inter-
Operable Secure Object Stores (ISOS)", Cornell University, NCSA, CNRI, Nov. 7,
1995

Yes

Aharonian, Gregory; "Software Patents - Relative Comparison of EPO/PTO/JPO
Software Searching Capabilities", Source Translation & Optimization

Yes

Gaster, Jens L.; "Authors' Rights and Neighbouring Rights in the Information
Society", DG XV/E/4, European Coinmission

Yes

"Europe and The Global Information Society Recommendations to the European
Council", Bamgemann Report, www.medicif.org web pages, Global Information
Society, Mav, 26, 1994

Yes

Bernstein, David; Lenowitz, Erwin; "Copyrights, Distribution Chains, Integrity, and
Privacy: The Need for a Standards-Based Solution", Electronic Publishing
Resources

Yes

Rubin, A.D.; Honeyman, P.; "Long Running Jobs in an Authenticated
Environment", CHI Technical Report 93-1, Center for Information Technology
Integration, Mar. 29, 1993

Yes

Sammer. Peter; Ausserhofer, Andreas; "New Tools for the Internet", Joanneum
Research, Graz University of Technology

* Any possible w Y n s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 8

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

f.:'? y -.^ .: -.^i "iw£00 : ;•■ :: '".If V^-vl

Yes

Eizenberg, Gerard, "Contribution of Information Technology Security to
Intellectual Property Protection" , CERT-DERI

Yes

Antonelli, C.J.; Doster, W.A.; Honeyman, P.; "Access Control in a Workstation-
Based Distributed Computing Environment", CITI Technical Report 90-2, Jul. 17,
1990

Yes

Lord, SP.; Pope, N.H.; Stepney, Susan; "Access Management in Multi-
Administration Networks" THE 2nd International Conference on Secure
Communication Systems, 1986

Yes

Stennev Susan* Lord S ten hen P * "Formal Snecification of an Access Control
System", Software-Practice and Experience, Vol 17(9), 1987

Yes

Brunnstein, Klaus; Sint, Peter P.; "Intellectual Property Rights and New
Technologies", Proceedings of the KnowRight'95 Conference, Aur. 1995

Yes

Rubin, A.D.; Honeyman, P.; "Formal Methods for the Analysis of Authentication
Protocols CITI Technical Report 93-7", Center for Information Technology
Integration Nov 8 1993

Yes

Lexis/WestLaw

Y

Yes

U.S. 6,135,646; Oct. 24, 2000

Yes

Bishop, Matt; "Privacy-Enhanced Electronic Mail", Privacy and Security Researh
Groun TAB

Y

Yes

Kim, Won; Ballou, Nat; Chou, Hong-Tai; Garza, Jorge R; Woelk, DarreU;
"Features of the ORION Object-Oriented Database System"

Yes

"Key Management Using ANSI X9.17", Federal Information Processing Standards
Publication 171, U.S. Department of Cbnnnerce, Apr. 27. 1992

Yes

"S/PAY: RSA's Developer's Suite for Secure Electronic Transactions (SET)", RSA
Data Security, Inc. 1997

Yes

Perlman, Bill; "A Working Anti-Taping System for Cable Pay-Per-View", IEEE
Trans. On Consumer Electronics, Vol. 35, No. 3, Aug. 1989

Y

Yes

Organick, Elliott I.; "The Multics System: An Examination of Its Structure*, MIT
Press, 1972

Y

Yes

Cina Jr., Vincent J.; White, Star R.; Comerford, Liam; "ABYSS: A Basic
Yorktown Security System PC Software Asset Protection Concepts", IBM
Research Report Number RC 12401, IBM Thomas J. Watson Research Center,
Dec. 18. 1986

Y

Yes

White, Steve R.; Comerford, Liam; "ABYSS: An Architecture for Software
Protection", IEEE Transactions on Software Engineering, Vol. 16, No. 6, Jun. 1990

Y

Yes

Davies. D.W.: Price. W.L.: Security for Computer Networks. John Wilev & Sons.
1984

Yes

"MSDN - INF: LAN Manager 2,1 Server Autotuning (Part 2)", PSS ID Number
080078, Microsoft. Feb. 1993

Y

Yes

"MSDN - License Service Application Prograrnming Interface", API Specification
vl .02, Microsoft Jan. 1993

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 9

InterTnist Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

"International Infrastructure Standards Panel:
IISP Need #31 - Containers or Secure Packaging;
IISP Need #32 - Authentication of Content;
IISP Need #33 - Control Enforcement;
IISP Need #34 - Billing and Payment;
IISP Need #35 - Reporting"

AKTQT fVitm* 3*>n 1ft 100^

Y

Yes

"Cryptographic API Specification", Version 0.6, Microsoft, Mar. 1995

Yes

Everett David B.: "Smart Card Tutorial - Part 1", Sep. 1992

Y

Yes

Paradinas, Pierre; Vandewalle, Jean-Jacques; "New Directions for Integrated
Circuit Cards Operating Systems"

Y

Yes

Hauser, Ralf; "Control of Information Distribution and Access", Dissertation Der
Wirtschaftswissenschaftlichen Fakultat Der Universitat Zurich, May 31, 1995

Yes

Rindfrey, Jochen; "Towards an Equitable System for Access Control and Copyright
Protection in Broadcast Image Services: The Equicrypt Approach *\ Fraunhofer
Institute for Computer Graphics

Yes

Wells. Rob: Odvssev of Plastic Purchase: 20-Second Round-Trip, Associated
Press, Dec. 1993

Yes

Pavment Systems: Strategic Choices for the Future. Hitachi Research Institute;
Institute of Advanced Business Systems, Hitachi, Ltd., 1993

Yes

"EFT Network Data Book - 1993 Edition", Bank Network News, Vol. 11, No. 13,
Nov. 1992

Yes

"American National Standard: Specification for Financial Message Exchange
Between Card Acceptor and Acquirer, X9.15", American Banker's Association,
1990

Yes

"ISO 7813-1987 Identification Cards - Financial Transaction Cards", ISO, 1987

Y

Yes

MSDN Issue: Summer 1992; Vol. No.: 0 (Beta); 1 Disk, Microsoft, 1992

Y

Yes

MSDN Issue: Sep. 1992; Vol. No.: 1; 1 Disk, Microsoft, Sep. 1992

Y

Yes

MSDN Issue: Jan 1993; Vol. No. 2; 1 Disk, Microsoft, Jan. 1993

Y

Yes

MSDN Issue: Apr. 1993; Vol. No. 3; i Disk, Microsoft, Apr. 1993

Y

Yes

MSDN Issue: Summer 1993; Vol. No. 4; 1 Disk, Microsoft, Jul. 1993

Y

Yes

MSDN Issue: Fall 1993; Vol. No. 5; 1 Disk, Microsoft Oct. 1993

Y

Yes

MSDN Issue: Winter 1994; Vol. No. 6; 1 Disk, Microsoft, Jan. 1994

Y

Yes

MSDN Issue: Apr. 1994; Vol. No. 7; 1 Disk, Microsoft, Apr. 1994

Y

Yes

MSDN Issue: Jul. 1994; Vol. 8; 1 Disk, Microsoft, Jul. 1994

Y

Yes

MSDN Issue: Oct 1994; Vol. 9; 1 Disk, Microsoft, Oct 1994

Y

Yes

MSDN Issue: Jan 1995; Vol. 10; 1 Disk, Microsoft, Jan. 1995

Y

Yes

MSDN Issue: Apr. 1995; Vol. 11; 1 Disk, Microsoft, Apr. 1995

Y

Yes

MSDN Issue: Jul. 1995; Vol. 12; 1 Disk, Microsoft, Jul. 1995

Y

Yes

MSDN Issue: Oct 1995; Vol. 13; 1 Disk, Microsoft, Oct. 1995

Y

Yes

MSDN Issue: Jan 1996; Vol. 14; 2 Disks, Microsoft, Jan. 1996

y

Yes

MSDN Issue: Apr. 1996; Vol. 15; 2 Disks, Microsoft, Apr. 1996

Y

Yes

MSDN Issue: Jul. 1996; Vol. 16; 1 Disk, Microsoft, Jul. 1996

Y

Yes

MSDN Issue: Oct 1996; Vol. 17; 2 Disks, Microsoft, Oct. 1996

Y

Yes

MSDN Issue: Jan 1997; Vol. 18; 2 Disks, Microsoft, Jan. 1997

Y

Yes

MSDN Issue: 16-Bit Archive 1997; Vol. NA; 1 Disk, Microsoft, Jan. 1997

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 1 0

InterTrust Tech. Corp. v. Microsoft Corp,
Case No* C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

MSDN Issue: Apr. 1997; Vol. No. 20; 2 Disks, Microsoft, Apr. 1997

y

Yes

MSDN Issue- Jul 1997* Vol No 21: 2 Disks, Microsoft, Jul. 1997

Y

Yes

MSDN Issue: Oct 1997; Vol. No. 24; 2 Disks, Microsoft, Oct. 1997

Y

Yes

MSDN Issue: Visual Studio 1997; Vol. No. 191; 1 Disk, Microsoft, 1997

Y

Yes

M^DN I<i<me' Jan 1998* Vol No 27' 2 Disks. Microsoft. Jan. 1998

Y

Yes

MSDN Issue: Apr. 1998; Vol. No. 30; 2 Disks, Microsoft, Apr. 1998

Y

Yes

MSDN Issue: Jul. 1998; Vol. No. 33; 3 Disks, Microsoft, Jul. 1998

Y

Yes

MSDN Issue: Oct 1998; Vol. No.: None; 3 Disks, Microsoft, Oct 1998

v
i

1 CO

M^DNT T«ue- Jan 1999- Vol Nn ■ None- 3 Disks. Microsoft. Jan. 1999

Y

1 Co

M^niM T«np' Anr 1999* Vol Nn ■ None* 3 Disks Microsoft Aor 1999

Y

Yes

MSDN Issue: Jul. 1999; Vol. No.: None; 3 Disks, Microsoft. Jul. 1999

Y

Yes

MSDN Issue* Oct 1999* Vol No * None* 3 Disks Microsoft. Oct 1999

Y

Yes

Chaum. David: Smart Card 2000. Selected Papers from the Second International

•smart Card 9000 dnrtfprenep Oct 4-6 1989

Y

Yes

CD Jukebox

X Co

Tl S Patent Nn 4 926 480* Mav IS 1990

Yes

U.S. Patent No. 4,529,870; Jul. 16, 1985

Yes

M<*vf*r Pari H • Matva<? Steohen M * Crvotofflraohv* A New Dimension in

PrvmnntAf ^^ntrttv Tnhn Wtlpv ^ Srvrm N^W Ynrtc 1982

Yes

"Interchange Message Specification for Debit and Credit Card Message Exchange
Amnna Pinanrtal Tn«tihitinn*4" American National Standard Accredited Standards
Committee X9-Hnancial Services Committee, ANSI X9J2-1988, American
Bankers Association! May 16. 1988 B1

Y

Yes

Excerpts from Jul. 1993 MSDN disks, Jul. 1993

Y

Yes

Pert RMviamin- Tvaar J D * Sirhu Marvin* "NetBill Securitv and Transaction
Protocol", Carnegie Mellon University

Yes

Cox, Brad; "What if there is a Silver Bullet and the competition gets it first?",
Journal of Obiect-oriented Procramminc Jun. 1992

Y

Yes

"CITED Final Report A Guide to CITED Documentation 4 ', ESPRIT, Project 5469,
ISBN 0-7 123-21 15-2. The CITED Consortium, Sep. 1994

Y

Yes

Boisson, Jean-Francois; rt l - Business Perspectives and Requirements, 2 - The
CITED Project: keys and knowledge", CITED 5469

Y

Yes

Van Slype, Georges; "Knowledge Economy: future trends", CITED 5469

Y

Yes

Boisson, Jean-Francois; "Software components: deliverable Trial Offer", CITED
5469

Y

Yes

Van Slype, Georges; "The CITED approach, Ver, 4.0", ESPRIT II, Project 5469,
The CITED Consortium. Apr. 20, 1994

Y

Yes

Moens, Jan; "Report on the users requirements, Ver. 1.0", ESPRIT II, Project
5469. The CITED Consortium, Nov. 27, 1991

Y

Yes

Schulze, Dr. J.; "Case of application of the generic CITED Model to the
CTTEDisation in the software distribution process", ESPRIT II, Project , Jan. 12,
1993

Y

Yes

Moens, Jan; "Case of application of the generic CITED Model to the CITEDisarion
of a directory database on CD-ROM, Vex. 2.0", ESPRIT II, Project 5469. The
CITED Consortium. Nov. 30, 1992

Y

Yes

Pijnenborg, Mari F.J.; "CITED Fmal Report", Elsevier Science B.V., Apr. 1994

* Any possible *Y*s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 1 1

InterTrust Tech. Corp. v, Microsoft Corp.
Case No* C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

Boisson, Jean-Francois; "How to CITEDise application: Guidelines and examples ,
CITED 5469

Y

Yes

Nguyen, Thanh; Saint Etienne, Patricia Louise (SAGEM); "Guidelines for
Validation of a CITED Svstem" CITED 5469 SA-2 1-40-003. Jul 4, 1994

Y

Yes

Van Slype, Georges; "The future of CITED: a feasibility study, Ver. 1.1 - Vol. I:
KurnTury "T^rt and recommendations". ESPRIT II. Project 5469. The CITED

rVtncrtrtiiim Mar 9ft 1 QQA.

Y

Yes

Van Slype, Georges; "The future of CllKD: a feasibility study, Ver. LI - Vol. HI:
TWt PTTFT) interehangft formats*. ESPRIT II. Project 5469. The CITED

Pnncnrtinm Mar ?R 1004

Y

Yes

"CITED: Copyright in Transmitted Electronic Documents, Special Interest Group",

PTTFD Meetinc? Heathrow Sen 22 1993

Y

Yes

Miscellaneous letters from Georges Van Slype at Bureau Van Dijk, Mar. 30, 1995

Y

Yes

Pijnenborg, Mari FJ.; "auteursrecht en de digitale bibliotheek", 195 Open, Jan, 37,
iyyo

Y

Yes

Miscellaneous letters from Georges Van Slype at Bureau Van Dijk, Feb. 13, 1995,

XT—.,, O 1 QQA

v
i

Van

ies

Van Slype, Georges; U PL4 RACE/ACCOPI Workshop on Conditional Access and

r*r>i-w»rt^oV»» ■pj-rttrwiirxn 1 ' PQPPTT IT Pmi>**t ^AftQ The PlTKD Consortium Nov 9

1994

Y

Yes

Miscellaneous letters from G. Van Slype at Bureau Van Dijk, Sep. 12, 1994, Sep.
1994, May 11, 1994, May 10, 1994, May 6, 1994, May 4, 1994, Apr. 21, 1994,
Act. 20. 1994

Y

Yes

Letter re: ESPRIT III - Project 5469 (CITED) from A. Stajano at Commission of
the European Communities, Oct. 7. 1993

Y

Yes

ESPRIT Project: 5469: Contract Amendment Number: 2; Q>rnmission of the
European Communities, Sep, 16, 1993

Y

Yes

Miscellaneous letters from George Van Slype at Bureau Van Dijk, Apr. 19, 1994,
Aor. 18, 1994, Adt. 11, 1994. Apr. 6, 1994

Y

Yes

•T*~ P»tnr* *f rir<*t- A F^ihility Stiidy" T ESPRIT EL Project 5469. The CITED
Consortium Apr. 15. 1994

Y

Yes

Miscellaneous letters from Bureau Van Dijk, Mar. 30, 1994, Mar. 24, 1994, Feb.
10, 1994. Feb. 10. 1994

Y

Yes

Handwritten note re: GVS and AJL, Mar. 2, 1994

Y

Yes

Miscellaneous letters from Bureau Van Dijk, Feb. 9, 1994, Jan. 27, 1994, Jan. 19,
1994, Jan. 12, 1994, Dec. 22, 1993, Nov. 30, 1993, Nov. 22, 1993, Dec. 6. 1993,
Nov. 16, 1993, Oct. 15, 1993, Oct. 7, 1993, Oct 4, 1993, Sep. 20, 1993, Sep. 7,
1993. Mav 19. 1993. Oct. 13. 1993

Y

Yes

Bureau Van Dijk Management Report for Task 4.5: Feasibility Study of the Cited
Agency, 1992-1993

Y

Yes

Bureau van Dijk: Gestion des contrats; 497C C.C.E. : CITED (SUITE), Feb. 1993

Y

Yes

"CITED: Preparation of the CITED model functional requirements specifications -
Discussion paper (revision 1)", Bureau Van Dijk, Jan. 16, 1991

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 1 2

InterTrust Tech. Corp. v, Microsoft Corp.
Case No. C 014640 SEA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

"CITED: Preparation of the CITED Model Functional Requirements Specifications
- Report of the interview with OXFORD UNIVERSITE PRESS, CITED part",
Bureau Van Diik, Feb, 27. 1991

Y

Yes

"CITED: Preparation of the CITED Model Functional Requirements Specifications
- Reports of the interviews with five CITED Partners" (Partners: Sagem,
Telesystemes, NTE, Elsevier, Oxford University Press), Bureau Van Dijk, Apr. 5,
1991

Y

Yes

"CITED: Preparation of the CITED Model Functional Requirements Specifications
- Reports of the interviews with Seven International Organizations: EBU, ECM A,
ELDA, EFPI, EFTC. STM. WEPO", Bureau Van Dijk, May 27, 1991

Y

Yes

Van Slype, Georges; Moens, Jan; Vannieuwenhuyse, Lawrence; "The future of
CITED: a feasibility study". ESPRIT IT. Project 5469. The CITED Consortium,
Nov. 15. 1993

Y

Yes

Van Slype, Georges; "Draft CITED interchange formats, Ver. 1 .0", ESPRIT II,
Project 5469. The CITED Consortium. Jan. 28, 1994

Y

Yes

Miscellaneous letter from Georges Van Slype at Bureau Van Dijk, Feb. 28, 1994

Y

Yes

Van Slype, Georges; 'The future of CITED : a feasibility study, Ver. 1.0 - Vol. I:
Summary report and recommendations". ESPRIT II. Project 5469. The CITED
Consortium* Feb. 28, 1994

Y

Yes

Van Slype, Georges; Moens, Jan; Vannieuwenhuyse, Laurence; 'The future of
CITED: a feasibility study, Ver. 1.0 - Vol. II: Full report", ESPRIT II, Project
5469. The CITED Consortium. Feb. 28, 1994

Y

Yes

Van Slype, Georges 'The future of CITED: a feasibility study, Ver. 1.1- Vol. ID:
Draft CITED interchange formats". ESPRIT II. Proiect 5469. The CITED
Consortium, Feb. 28, 1994 •

Y

Yes

"The Future of Cited: A Feasibility Study", ESPRIT II, Project 5469, CITED
Proiect Review, Apr. 15, 1994

Y

Yes

Van Slype, Georges; U PL4 RACE/ACCOPI Workshop on Conditional Access and
Copyright Protection", ESPRIT II, Project 5469, Presentation of the CITED, Nov.
9. 1994

Y

Yes

Van Slype, Georges; "Natural Language version of the generic CITED model, Ver,
4.2 - Vol. I: Presentation of the generic model", ESPRIT II, Project 5469, The
CITED Consortium. Mav 8. 1995

Y

Yes

Van Slype, Georges; ''Natural language version of the generic CITED model, Ver.
2.1 - Vol. II ECMS (Electronic Copyright Management System) design for
computer based applications". ESPRIT II. Project 5469. The CITED Consortium.
Mav 8. 1995

Yes

Cousins, Steve B.; Ketchpel, Steven P.; Paepcke, Andreas; Garcia-Molina, Hector;
Hassan, Scott W.; Roscheisen, Martin; 'TnterPay: Managing Multiple Payment
Mechanisms in Digital Libraries"

Yes

"PKCS #5: Password-Based Encryption Standard", An RSA Laboratories
Technical Note, Ver. 1.5, 1991-1993, Revised Nov. 1, 1993

Yes

"PKCS #8: Private-Key Information Syntax Standard", An RSA Laboratories
Technical Note. Ver. 1.2. 1991-1993. Revised Nov. 1. 1993

Yes

"PKCS #10: Certification Request Syntax Standard", An RSA Laboratories
Technical Note. Ver. L0,Nov. 1. 1993

* Any possible M Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 1 3

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

"PKCS #11: Cryptographic Token Interface Standard", An RSA Laboratories
Technical Note, Ver. 2.0, Apr. 15, 1997

Vac

i es

"PKCS 12 vl.O: Personal Information Exchange Syntax", RSA Laboratories, Jun.
24, 1999

Yes

*TKCS #13: Elliptic Curve Cryptography Standard", RSA Security, Jan. 12, 1998

Yes

"PKCS #15 vl .0: Cryptographic Token Information Format Standard", RSA
Laboratories. Apr. 23. 1999

Yes

U.S. 5,335,346; Aug, 2, 1994

y

Yes

ttarfinWftl, Sirmnn- Sp*ffnrri_ Gene: Practical UNIX Securitv, O'Reillv &
Associates, Inc., 1991

Y

Yes

Merkle, Ralph G, "Protocols for Public Key Cryptosysterns", IEEE, 1980

Yes

K-aiw rvm; Falk, Tar.V; Npiyftn. Hung Ouoc: Testine Computer Software. Second
Edition, Van Nostrand Reinhold, 1988

Yes

Press, Jim; Bunting, Angela "A New Approach to Cryptographic Facility Design",
ICL Mid-Range Systems Division Reading, Berks, UK

Y

US 6,256,668; Jul. 3, 2001

Y

Kim, Gene H.; Spafford, Eugene H.; "Experiences with Tripwire: Using Integrity
Checkers for Intrusion Detection", Purdue Technical Report CSD-TR-94-012, Feb.
21, 1994

Y

"Technical Description: Pay-Per-View Copy Protection", Macrovision, Jun. 1994

Y

Reali, Patti; "Copy Protection: The answer to pay per view's prayers?", TVRO
Dealer, Dec. 1994

Swedlow, Tracy; "2000: Interactive Enhanced Television: A Historical and Critical
Perspective", Interactive TV Today

Various articles from EE Times, Week of Oct. 2, 1995

"Digital Broadband Delivery System, Phase 1.0, System Overview", Revision 1.0,
Scientific Atlanta, 1997

Langelaar, G.C "Overview of protection methods in existing TV and storage
devices". SMS-TUD-609-1, Final Ver. L2, Feb. 26, 1996

Y

Solomon, A.; "PC Viruses: Detection, Analysis, and Cure", Springer Verlag 1991.

Y

Galaxy, Opcode Systems, 1991-1994

Y

Unix System V & BSD & GNU versions prior to Feb 22, 1996

Y

US 5,673,316; Sep. 30, 1997

Y

17 USCA sections 1001-1010, Chapter 10 Digital Audio Recording Devices and
Media, 1996

Hill, Will; Hollan, Jim; "History-Enriched Digital Objects", Computer Graphics
and Interactive Media Research Group; Bell Communications Research, 1993

Hill, William; Hollan, James D.; "Edit Wear and Read Wear", Computer Graphics
and Interactive Media Research Group, ACM; May 3-7, 1 992

* Any possible "Y's that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 1 4

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

InterTrust Solutions for A2b, InterTrust;

Competitive Analysis AT&T/a2b music, Jun. 16, 1998;

Email from Chris Drost-Hansen re press release: "AT&T Launches A2B Music
Trial for Delivering Sones Over the Internet". Business Wire. Nov. 3, 1997;

A2b's Recent Press Coverage, 1998

Yes

ISO 1 1568-1 & -2: "Key management (retail) - Part 1: Introduction to key
management"; and "- Part 2: Key management techniques for symmetric ciphers",
ISO, Dec. 1, 1994

Yes

ISO 13491-1: "Secure cryptographic devices (retail) - Part 1: Concepts,
requirements and evaluation methods", ISO, Jun. 15, 1998

Yes

ISO 8583-2: "Financial transaction card originated messages - Interchange message
specifications - Part 2: Application and registration procedures for Institution
Identification Codes (HQ", ISO, Jul. 1, 1998

Yes

ISO 8583-3: "Financial transaction card originated messages - Interchange message
specifications - Part 3: Maintenance procedures for codes", ISO, Jul. 1, 1998

Yes

ISO 9564-1 & -2: "Personal Identification Number (PIN) management and security
- Part 1 : Basic principals and requirements for online PIN handling in ATM and

PO^ Rv^t^mQ* At -0 ArmrnvfcH AlonrithmfO for PIN encinherment" ISO Aor- 15.
2002 & Dec. 15, J9? J

Yes

ISO 9807; "Banking and related financial services - Requirements for message
authentication (retail) " ISO, Dec. 15, 1991

Yes

Secure Electronic Transactions; Mastercard and Visa+C345

Yes

Tanenbaum, Andrew S; van Renesse, Robbert; van Staveren, Hans; Sharp, Gregory
J.; Mullender, Sape J.; Jansen, Jack; van Rossum, Guido; "Experiences with the
Amoeba Distributed Operating System* 1 , Vrije Universiteit and Centrum voor
Wiskunde en Informatica

Yes

Tanenbaum, Andrew S; Mullender, Sape J.; van Renesse, Robbert; "Using Sparse
Capabilities in a Distributed Operating System", Vrije Universiteit and Centre for
Mathematics and Computer Science

y

Yes

Tanenbaum, Andrew S; van Renesse, Robbert; van Staveren, Hans; Sharp, Gregory
J.; Mullender, Sape J.; Jansen, Jack; van Rossum, Guido; "Amoeba System",
Communications of the ACM, Vol. 33, No. 12, Dec. 1990

Yes

"KeyKOS Principles of Operation", Key Logic document KL002-04, 1985, (Fourth
Edition, Jan. 1987)

Yes

Landau, Charles R.; "Security in a Secure Capability-Based System", Operating
Systems Review, Oct, 1989

Yes

"Security in KeyKOS"

Yes

Hardy, Norman; "The Keykos Architecture", Key Logic Document KLG28-08,
Eighth Edition, Dec. 1990

Yes

Johnson, Howard L,; Koegel, John R; Kocgel, Rhonda M; "A Secure Distributed
Capability Based System", ACM, 1985

* Any possible T's that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 15

InterTnist Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SEA (MEJ)

APPENDIX OF PRIOR ART*

Yes

Kim, Gene H.; Spafford, Eugene H.; "Experiences with Tripwire: Using Integrity
Checkers for Intrusion Detection", COAST Laboratory, Purdue University, Feb.
22, 1995

Yes

Blaze, Matt; "Key Management in an Encrypting File System", Proc. Summer 1994
USENIX Technical Conference, Jun. 1994

Yes

Robinson, D.; Ullmann, R.; "Encoding Header Field for Internet Messages",
Network Working Group RFC 1 154, Apr. 1990;

Rose, M.; McCloghrie, K.; "Structure and Identification of Management
Information for TCP/IP-based Internets", Network Working Group RFC 1 155,
May 1990

I CS

Rose, M.; McCloghrie, K.; "Structure and Identification of Management
Information for TCP/IP-based Internets", Network Working Group RFC 1 155,
May 1990;

McCloghrie, K.; Rose, M.; "Management Information Base for Network
Management of TCP/IP-based internets , Network Working Group RFC 1156,
May 1990;

Case, J.; Fedor, M.; Schoffstall, M.; Davin, J.; "A Simple Network Management
Protocol (SNMP)", Network Working Group RFC 1 157, May 1990

Yes

ftevirt T * f"Tfl1vin 1 • AArPlrttrhrif* K" * "^MA/TP AHmmictTfltive Modfcl" Network

Working Group RFC 1351, Jul., 1992;

Galvin, J.; McCloghrie, K.; Davin, J.; "SNMP Security Protocols", Network
Working Group RFC 1352, Jul, 1992;

McCloghrie, K.; Davin, J.; Galvin, J.; "Definitions of Managed Objects for

A Jmi'vti^ahftft /vFCMVTD D^T+Jttp" lMtfittintrV U/nrVirifr fir/Mir* I?"RP 1 fill 1007

Administration 01 oiNMir x arties , xsetworK vvoncmg uroup kjh^ i od jui.,

Yes

"PKCS #1 : RSA Encryption Standard", RS A Laboratories Technical Note, Ver.
1.5, Revised Nov. 1, 1993

Yes

"PKCS #3: Diffie-Hellman Key-Agreement Standard", RSA Laboratories
Technical Note, Ver. 1.4, Revised Nov. 1, 1993

Yes

"PKCS #6: Extended-Certificate Syntax Standard", RSA Laboratories Technical
Note, Ver. 1.5, Revised Nov. 1. 1993

Yes

"PKCS #9: Selected Attribute Types", RSA Laboratories Technical Note, Ver. 1.1,
Revised Nov. 1, 1993

Yes

Shneier, B.; "Description of new variable-length key, 64-bit block cipher
(Blowfish)", Fast Software Encryption, Cambridge Security Workshop
Proceedings, 1994

Yes

Feistel, H.; "Cryptographic Coding for Data-Bank Privacy", IBM document RC
2827, Mar. 18, 1970

Yes

ACORN/ CLEAR, 1996-1998

Yes

Tuck, Bill; "Electronic Copyright Management Systems: Final Report of a Scoping
Study for eLib", Jul., 1996

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 16

Intel-Trust Tech. Corp. v. Microsoft Corp*
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

r7: q

Y

Yes

,, r^r\rK\tQm<t-r^ ff~*S}\fi\ en it" T?itrr*T\(»Tn Information TVrHimlnov for Tnformfltion

Science;

COPYSMART - 20517: "CITED based multi-media IPR management on cost
effective smart device", European Information Technology for Information
Science, start date Dec. l t 1995;

Summaries of Projects (FP in/IV) - Part I: "ESPIRIT Project 205 17 -
COPYSMART CITED based multi-media IPR management on cost effective smart
device", European Information Technology for Information Science, Oct. 1998

Yes

"CREANET - Creative Rights European Agency NETwork - Project Profile"
information society technologies, edited Feb. 18, 2000

Yes

"iOpener System Description" , National Semiconductor, 1993

Yes

"iPower Technology" (National Semiconductor marketing brochure)

Yes

"the Standards Business: Time for Change," European Commission DG1 1 1
Espirit Project 5th Consensus Forum, Nov. 3-4, 1998;

"ESPIRIT Project 20676 - IMPRIMATUR - Intellectual Multimedia Property

"DJrfV>tr tk-nA TWrmnrtlrtftv frvr T Tnivprcal "R^fprfnr/** 1 IMPRIMATUR

Jtvignis jviouei ano i ciimiioiugy tor universal xvcicreiivc , ±ivix jvuYirvi
Consortium, Oct. 1998;

Electronic Reserve Copyright Management system (niccuM^;, international
Institute for Electronic Library Research, website updated by Ramsden, Arme, Jul.
22, 1996;

Achievements Archive, www4mprimatur.net/ web pages;
impramatur news, iMPRIMATUR, Dec. 1998;

Yes

JUKEBOX-Music Across Borders, LIB -JUKEBOX/4- 1049

Yes

"ESPRIT Project 24378 - MENHIR European Multimedia network of high quality
image registration", Museums On Line, Feb. 1, 1997

Yes

"ESPIRIT Project 22226 - MUSE - Developing standardized digital media
management, signaling and encryption systems for the European music sector",
International Federation of the Phonoeraohic Industry. Oct. 1998

Yes

"STARFISH State of the Art Dinancial Services for the inHabitants of isolated
areas - Project Profile" information society technologies, time schedule Jan. 21,
2000 -Jun. 30, 2002

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 17

InterTnist Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

VJ;:V-i;..:i : ; : v/<- ' i

Yes

"TALISMAN - Tracing Authors' rights by Labelling Image Services and
Monitoring Access Network,* 4 ACTS Project No. AC019, Doc Reference AC019-
THO-RGS-FR-P-001-bi. Sep. 25, 1998;

Simon, C; Goray, E.; Vercken, G.; Delivet, B.; Delaigle, JF.; Boucqueau, JM.;
"Digital Images protection managment in a broadcast framework:
Overview/TALISMAN solution," Thomson-CSF, RTBF, ART3000, UCL;

"TALISMAN: Tracing Authors* rights by labelling image services and monitoring
access network," ACTS, Swiss Participation in European Research Programmes,

s™ i iqq^AiiB iwft

Yes

"TELENET TELEtraining platform (on NET works) - Project Profile" information
society technologies, time schedule Mar. 6, 2000 - Mar. 30, 2000;

"Deliverable D3: Specification of the Infrastructure And explanation of trust and
confidence building solutions" Ver. 0.1, Telenet, Jul. 18, 2000;

Email from Ed moral Kouka to Jean-Francois Boisson re Affaire BC-CreaNet; Feb.
10, 2001;

Email from Bogdan Lutkiewicz to Jean-Francois Boisson re TELENET
TELEtraining platform - Bogdan Lutkiewicz, Poland, Gdansk; Mar. 4, 2001

Y

Yes

Boisson, Jean-Francois; "Management of Intellectual Property Rights in the
Electronic Commerce: Textile Design Sales And Other Similar Initiatives,"
EURITIS

Yes

U.S. Patent No. 5,251,294; Oct. 5, 1993

Yes

S.H. Low, N.R Maxemchuk, J.T. Bassil, & L. O'Gorman, Document Marking and
Identification Using Both Line and Word Shifting, Infocom 95, 1994

Yes

Caroni, Maxemchuck & O'Gorman, Electronic Marking and Identification
Techniques to Discourage Document Copying, Proc. Infocom 94, 1994

Yes

Wagner, Fingerprinting, IEEE Symp. On Info, and Privacy, Apr., 93

Yes

TJ DibtctKciI T nnnrman n 1^mt«v*t4ncy Oum^rvfiin T7 1 nhfo THrnil oH T^IOltfll

rx. JDergnai, vjgoiiiiari, rTuiecung u wncrsnip xugnis i niuugii jLugiuu
Watermarking**, IEEE Computing v. 29, No.7, Jul.. 1996,

Yes

Chor, Fiat & Naor, Tracing Traitors, Crypto 94, p. 257, 1994

Yes

David Chaum, "Security Without Identification: Transaction Systems to Make Big
Brother Obsolete", Comm. Of the ACM, vol. 28, no. 10, Oct. 1985

Yes

"Wallet Databases with Observers", David Chaum. Advances m Crvptoioev -
Proceedings of Crypto *92 (pp. 89-105). 1992

Y

Yes

Sirbu, Marvin; Tygar, J.D.; "NetBOl: An Internet Commerce System Optimized for
Network Delivered Services", Carnegie Mellon University

Yes

Ulrich Kohl, Jeffrey Lotspiech, Marc Kaplan, "Safeguarding Digital Library
Contents and Users", IBM Research Division, D-Lib Magazine, Sept. 97

Yes

Daniel Schutzer, A Need for a Common Infrastructure: Digital Libraries and
Electronic Commerce, Apr. 1996

Yes

Michael Lesk, Digital Libraries Meet Electronic Commemce: On-Screen
Intellectual Property, Dec. 15, 98

* Any possible u Y u s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart In Appendix B. 18

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

■■■

Yes

Lorcan Dempsey & Stuart L. Weibel; The Warwick Metadata Workshop: A
Framework for the Deployment of Resource Description, JulV Aug. 96

Yes

"AT&T Smart Cards Systems & Solutions", AT&T, 1993

Y

Yes

oempius, vnx^Jo* jviuiii /\ppucauon i*mp isperauiig oystem * introaucuon ,
Gemplus Card International, 1990

Yes

vruiiiou, uouis oman v-oios ana vA>naiuonai /\ccoss , opnngcr- venag, xyoo

Yes

David L. Chaum, "Untraceable Electronic Mail, Return Addresses, and Digital
i'seudonyms , lyoi

Yes

Kent, S,; "U.S. Department of Defense Security Options for the Internet Protocol",
tNeiworK w or Kin 2 vjroup Jtvrv_> i iuo, inov. iyyi

Yes

Deering, S.E.; "Host Extensions for IP Multicasting", Network Working Group,
RFC 1112 Aue 1989

Yes

Pethia, R.; Crocker, S.; Fraser, B.; "Guidelines for the Secure Operation of the
Internet" Network Working Grouo RFC 1281 Nov 1991

Yes

Galvin, J.; McCloghrie, K.; "Security Protocols for version 2 of the Simple
Network Management Protocol CSNMPv2T Network Workine Grouo RFC 1446.
Aor., 1993

Yes

Eastlake III, D.; "Physical Link Security Type of Service", Network Working
Grouo RFC 1455 Mav 1993

Yes

Kastenholz, F.; "The Definitions of Managed Objects for the Security Protocols of
the Point-to-Point Protocol", Network Working Group RFC 1472, Jun. 1993

Y

Yes

Kohl, J., Neuman, C; "The Kerberos Network Authentication Service (V5)",
Network Working Group RFC 1510, Sep., 1993

Yes

Eastlake HI, D.; Crocker, S.; Schiller, J.; "Randomness Recommendations for
Security", Network Working Group RFC 1750, Dec. 1994

Yes

"HaIIpt N • "Th^ R/JTFY OnR-Time Pa«wnrH <ivttfm H Network Working Grftun

RFC 1760, Feb,, 1995

Yes

Atkinson. R * "Security Architecture for the Internet Protocol". Network Workine
Group RFC 1 825, Au*., 1995

Yes

Crocker, S.; Freed, N.; Galvin, J.; Murphy, S.; "MIME Object Security Services",
Network Working Group RFC 1848, Oct, 1995

Yes

U.S. Patent No. 5,251,294; Oct. 5, 1993

Yes

S.H. Low, N.F. Maxemchuk, J.T. Bassil, & L. O'Gorman, "Document Marking and
Identification Using Both Line and Word Shifting,' 1 AT&T Bell Laboratories,
Infocom95. Jul. 29. 1994

Yes

Brassil, I.; Low, S.; Maxemchuck, N.; O'Gorman L.; "Electronic Marking and
Identification Techniques to Discourage Document Copying," AT&T Bell
Laboratories, Proc. Infocom94, 1994

Yes

Wagner, Neal; "Fingerprinting," Drexel University, IEEE Symp. On Info, and
Privacy, Apr., 1993

Yes

Berghal, Hal; Ogorman, Lawrence; "Protecting Ownership Rights Through Digital
Watermarking" IEEE Computing v. 29, no.7, pp. 101-103, Jul., 1996

Yes

Chor, Benny; Fiat, Amos; Naor, Moni; "Tracing Traitors," Crypto 94, p. 257, 1994

* Any possible p Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 19

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

Chaum, David; "Security Without Identification: Transaction Systems to Make Big
Brother Obsolete", Communications of the ACM, vol. 28, no. 10, Oct, 1985

Yes

Chaum, David; Pederson, Torben Pryds; "Wallet Databases with Observers", CWI,
Aarhus University. David Chaum, Advances in Crvptology - Proceedings of
Crypto '92, pp. 89-105, 1992

Yes

Kohl, Ulrich; Lotspiech, Jeffrey; Kaplan, Marc; "Safeguarding Digital Library
Contents and Users". IBM Research Division, D-Lib Magazine, Sept., 1997

Yes

Schutzer, Daniel; "A Need for a Common Infrastructure: Digital Libraries and
Electronic Commerce/ Citibank, D-Lib Magazine, Apr., 1996

Yes

Pn*mf*V*» AnHrpji*:* "Snmmarv nf Xtanfrtrri , <: Digital Librarv Testbed and Status"

Stanford University, D-Lib Magazine, Jul.- Aug., 1996

I Co

Dempsey, Lorcan; Weibel, Stuart L.; "The Warwick Metadata Workshop: A
Pram pwrwk finr th*» D^nlovmpnt of Resource DescriDtion" University of Bath.
OCLC Office of Research, D-Lib Magazine, Jul.-Aug., 1996

Yes

"AT&T Smart Cards Systems & Solutions", AT&T, 1993

Yes

Brad J. Cox, Dr., "What if there is a silver bullet?", Dobbs Journal, Oct. 1992

Yes

Guillou, Louis C; "Smart Cards and Conditional Access", Springer-Veriag, 1988

Yes

Chaum, David; "Untraceable Electronic Mail, Return Addresses, and Digital
Pseudonyms", Communications of the ACM, vol. 24, No. 3, Feb., 1981

Yes

Kent, S.; "U.S. Department of Defense Security Options for the Internet Protocol",
Network Working Group RFC 1 108. Nov. 1991

Yes

Deering, S.; "Host Extensions for EP Multicasting", Network Working Group RFC
1112, Aug. 1989

Yes

White, Steve R.; Comerford, Liam; "ABYSS: A Trusted Architecture for Software
Protection", IEEE, Apr. 27, 1987

Yes

Ross, Philip E.; "Cops versus robbers in cyberspace"; Forbes, Sep. 9, 1996

Yes

*T)ata Networks and Open System Communications, Directory: Information
Technology - Open Systems Interconnection - The Directory: Overview of
Concepts, Models, and Services", ITU-T Recommendation X.500, International
Telecommunication Union, Nov. 1993

Yes

Bender, W.; Gruhl, D.; Morimoto, N.; Lu, A.; 'Techniques for data hiding", IBM
Systems Journal, Vol. 35, Nos. 3&4, 1996

Yes

Maxemchuk, N.R; "Electronic Document Distribution", AT&T Bell Laboratories

Yes

Doster, Bill; Rees, Jim; *Third-Party Authentication in the Institutional File
System", Center for Information Technology Integration

Yes

Levy, Steven; "E-Money (That's What I Want)", Wired Magazine, Issue 2.12, Dec.
94

Yes

Arms, William Y., "Key Concepts in the Architecture of the Digital Library", D-
Lib Magazine, Jul. 1995

Yes

Weingart, S.R, "Physical Security for the uABYSS System" T IEEE. 1987

Yes

B. Strohm, L. Comerford, S. R. White, "ABYSS: Tokens", IBM Research Report
Number RC 12402, Dec. 18, 1986

* Any possible "Vs that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 20

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

xes

(jrozaiu, ooai; vjray» Mary, jvesnav, orinivasan, iviaaisciii, rvnjay, rviunson, tunan,
Rosenblum, Mendel; Schoettler, Steve; Sullivan, Mark; Terry, Douglas; GAFFES:
The Design of a Globally Distributed File System , Report No. UCB/CSD 87/361;
Computer Science Division (EECS), U.C. Berkley, Jua 1997

Yes

Chaum, David; Fiat, Amos; Naor, Mom; Untraceable Electronic Cash , Lecture
Notes in Computer Science, 403, Advances in Cryptology - CRYPTO '88
Proceedings, 1988

Yes

Chaum, David; "Privacy and Social Protection in Electronic Payment Systems",
Chapter 12. The Future of Monev in the Information Age

ies

Bos, Jurjen-; Chaum, David; "SmartCash: a Practical Electronic Payment System",
Center for Mathematics and Computer Science, Report CS-R9035, Aug.

Yes

Gircvs. Gintaras R.; Understanding and Using COFF. OReilly & Associates, Inc.;
Nov. 1988

Yes

Unix Svstem V. Release 3.2, Programmers Guide Vol. II. AT&T. Prentice Hall.

1989

Yes

Richarson. Dennis W.; Electric Monev; Evolution of an Electronic Funds-Transfer

Yes

Custer, Helen: Inside Windows NT, Microsoft Press, Redmond, WA, 1993

Yes

Pietrek. Matt; Windows Internals: The Implementation of the Windows Operating

cnvixonjiicnt, /\uuison-irvesiey,

Yes

Gilde, R., "DAT-Heads; Frequendy Asked Questions", 1991, Release 3.1-Sep. 2,
1992

Yes

Tardo, Joseph; Valente, Luis; "Mobile Agent Security and Telescript*, General
Magic, Inc.

Yes

"Telescript Security", BYTE.com, Oct. 1994

Yes

"Forum on Risks to the Public in Computers and Related Systems: ACM
Committee on Computers and Public Policy, Peter G. Neumann, moderator", Risks-

ruruni lyiKesi, vol. zj, issue *h/, Jan.

Yes

Sahuguet, Arnaud; "Piracy; the Dark Side of Electronic Commerce: CIS-70CV2",
Univ. of Pennsylvania, May 5, 1998

Y

Yes

Rouaix, Francois; "A Web navigator with applets in Caml", INRIA

Yes

Fuchsberger, Andreas; Gollmann, Dieter; Lothian, Paul; Paterson, Kenneth G.;
Sidiropoulos, Abraham; "Public-key Cryptography on Smart Cards", Information
Security Group

Yes

"An Introduction to Safety and Security in Telescript", Telescript Powered

Yes

Clarke, Roger; Bunting, Angela; "Cryptography issues in plain text", Privacy Law
and Policy Reporter, 1996

Y

Yes

Pratt & Witney Inuse

Y

Yes

Use of ATM

Y

Yes

Use of Set Top Box

Y

Yes

Protective Envelope System

PRIOR ART

Yes

3,573,747; Adams et at.

* Any possible Ts that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 21

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

3,609.697; Blevins

Yes

3,790,700; Callais et al.

Yes

3,796.830; Smith

Yes

3 ,798,359; Feistel

Yes

3,798.360; Feistel

Yes

3,798,605; Feistel

Yes

3,806,882; Clarke

Yes

3,829,833; Freeny, Jr.

Yes

3,906,448; Henriques

Yes

3,911.397; Freeny, Jr.

Yes

3,924,065; Freeny, Jr.

Yes

3,931,504; Jacoby

Yes

3,946,200; Brobeck et al.

Yes

3,946,220; Brobeck et al.

Yes

3,956,615; Anderson et al.

Yes

3,958,081; Ehrsam et al.

Yes

3,970,992; Boothroyd et al.

Yes

4,048,619; Forman, Jr. et al.

Yes

4,071,911; Mazur

Yes

4,112,421; Freeny, Jr.

Yes

4,120,030; Johnstone

Yes

4,162,483; Entenman

Yes

4,163,280; Mori etal.

Yes

4,168,396; Best

Yes

4,196,310; Forraan et al.

Yes

4,200,913; Kuhai et al

Yes

4,209,787; Freeny, Jr.

Yes

4,217,588; Freeny, Jr.

Yes

4,220,991; Hamano et al.

Yes

4,232,193; Gerard

Yes

4,232,317; Freeny, Jr.

Yes

4,236,217; Kennedy

Yes

4,253,157; Kirschner et al.

Yes

4.262.329; Bright etal.

Yes

4^65,371; Desaietal.

Yes

4,270,182; Asiia

Yes

4,278.837; Best

Yes

4,305,131; Best

Yes

4,306,289; Lumley

Yes

4,309,569; Merkle

Yes

4,319,079; Best

Yes

4,323,921; Guillou

Yes

4,328,544; Baldwin et al.

Yes

4,337,483; Guillou

Yes

4,361,877; Dyer etal.

Yes

4,375,579; Davida etal.

Yes

4,433,207; Best

Yes

4,434,464; Suzuki et al.

* Any possible u Y tt s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 22

InterTrust Tech* Corp. v. Microsoft Corp.
Case No* C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

; '>';•■ '-:]

Yes

4,442,486;

Mayer

Yes

4,446,519'

Thomas

Yes

4,454,594;

Heffron et al.

Yes

4,458,315;

Uchenick

Yes

4,462,076;

Smith, III

Yes

4,462,078;

Ross

Yes

4,465,901;

Best

Yes

4,471,163;

Donald et al.

Yes

4,484,217*

Block et al.

Yes

4,494,156*

Kadison et al.

Yes

4,513,174

Herman

Yes

4,528,588

Lofberg

Yes

4.528 643

Freeny, Jr.

Yes

4,553,252

Hgendorf

Yes

4,558,176

Arnold et al.

Yes

4,558,413

Schmidt et al.

Yes

4,562,306

Chou et al.

Yes

4,562,495

Bond et al.

Yes

4,577,289

Comerford et al.

Yes

4,584,641

Guglielmino

Yes

4,588,991

Atalla

Yes

4389,064

Chiba et al.

Yes

4,593,183

Fukatsu

Yes

4 593 353

Pickholtz

Yes

4,593,376

Volk

Yes

4,595,950

Lofbere

Yes

4497,058

Izumi et al.

Yes

4,622,222

Johnson

Yes

4,634,807

Chorley et al.

Yes

4,644,493

Chandra et al.

Yes

4,646,234

Tolman et al.

Yes

4,652,990

f Pailen et al.

Yes

4,658,093

Hellman

Yes

4,670,857

Rackman

Yes

4,672^72

Alsberg

Yes

4,677,434

Fascenda

Yes

4,677,552

Sibley, Jr.

Yes

4,680,731

, Izumi et al.

Yes

4,683453

, Mollier

Yes

4,685,056

, Barasdale et al.

Yes

4,688,169

Joshi

Yes

4,691,350

Kleijne et al.

Yes

4,696,034

, Wiedemer

Yes

4,700,296

Palmer, Jr. etal.

Yes

4,701,846

IkedaetaL

Yes

4,712238

Gilhousen et al

Yes

4,713.753

Boebert et al.

Yes

4,727450

Chan** et al.

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 23

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

4,740,890; WiUiam

Yes

4,747,139; Taaffe

Yes

4,757,533; Allen et al.

Yes

4,757,534; Matyas et ah

Yes

4,768,087; Taub et al.

Yes

4,791,565; Dunham et al.

Yes

4,796,181; Wiedemer

Yes

4,798,209; Klingenbeck et al.

Yes

4,799,156; Shavit et al.

Yes

4,807,288; Ugonet aL

Yes

4,817,140; Chandra et al.

Yes

4,823,264; Deming

Yes

4,827,508; Shear

Yes

4,858.121; Barber et al.

Yes

4,864,494; Kobus

Yes

4,866,769; Karp

Yes

4,868,877; Fischer

Yes

4,903,296; Chandra et al.

Yes

4,924,378; Hershey et al.

Yes

4,930,073; Cina,Jr,

Yes

4,949,187; Cohen

Yes

4,975,647; Downer et al.

Yes

4,977,594; Shear

Yes

4,999,806; Chernow et al.

Yes

5,001,752; Fischer

Yes

5,005,122; Griffin etal.

Yes

5,005,200; Fischer

Yes

5,010,571; Katznelson

Yes

5,023,907; Johnson et al.

Yes

5,047,928; Wiedemer

Yes

5,048,085; Abraham et al.

Yes

5,050,213; Shear

Yes

5,091,966; Bloomberg et al.

Yes

5,103,392; Mori

Yes

5,103,476; Waiteetal.

Yes

5,111,390; Ketcham

Yes

5,1 19,493; Janis etal.

Yes

5,126,936; Champion et al.

Yes

5,128^525- Stearns etal.

Yes

5,136,643; Fischer

Yes

5,136,646; Haber etal.

Yes

5,136,647; Haber etal.

Yes

5,136,716; Harvey etal.

Yes

5,146,575; Nolan, Jr.

Yes

5,148,481; Abraham et al.

Yes

5,155,680; Wiedemer

y

Yes

5,163,091; Graziano et al.

Yes

5.168,147; Bloomberg

* Any possible "Y H s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 24

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 014640 SBA (MEJ)

APPENDIX OF PRIOR ART*

i mk$m&-

Yes

5.185,717; Mori

Yes

5,187,787; Skeenet al.

Yes

5,201,046; Goldberg ct al.

Yes

5,201,047; MakietaJ.

Yes

5,208,748; Flores et al.

Yes

5,214,702; Fischer

Yes

5,216,603; Flores et al.

Yes

5,221,833; Hecht

Yes

5.222,134; Waiteetal.

Yes

5,224,160; Paulinietal.

Yes

5,224,163; Gasser etal.

Yes

5,227,797; Murphy

Yes

5,235,642; Wobberetal.

Yes

5,241,671; Reed etal.

Yes

5,245,165; Zhang

Yes

5,247.575; Sprague et al.

Yes

5,257,369; Skeen et al.

Yes

5,260,999; Wyman

Yes

5,263,158; Jams

Yes

5,265,164; Matyaset al.

Y

Yes

5,276,735; Boebert et al.

Yes

5,280,479; Mary

Yes

5,285,494; Sprecher et al.

Yes

5,301,231; Abraham et al.

Yes

5,311,591; Fischer

Yes

5319,705; Halter etal.

Yes

5.319,785; Halter etal.

Yes

5,335,169; Chong

Yes

5,337,360; Fischer

Yes

5,341,429; Stringer et al.

Yes

5,343,527; Moore

Yes

5,347,579; Blandford

Yes

5,351,293; Michener et al.

Y

Yes

5,355,474; Thuraisngham et al.

Yes

5,365,587; Campbell et al.

Yes

5,373,440; Cohen et al.

Yes

5,373,561; Haber etal.

Yes

5,390,247; Fischer

Yes

5,390,330; Talati

Yes

5,392,220; van den Hamer et al.

Yes

5,392,390; Crozier

Yes

5,394,469; Nagel etal.

Yes

5,410,598; Shear

Yes

5,412,717; Fischer

Yes

5,418,713; Allen

Yes

5,420,927; Micali

Yes

5,421,006; Jablon

Yes

5,422,953; Fischer

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 25

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

5,428,606; Moskowitz

Yes

5,438,508; Wyman

Yes

5,442,645; Ugon

Yes

5,444,779; Daniele

Yes

5,449,895; Hechtet al.

Yes

5,449,896; Hechtet al.

Yes

5,450.493; Maher

Yes

5,453,601; Rosen

Yes

5,453,605; Hechtet al.

Yes

5,455,407; Rosen

Yes

5,455,86 1 ; Faucher et al.

Yes

5,455,953; Russell

Yes

5,457,746; Dolphin

Yes

5,457,747; Drexler et al.

Yes

5,458,494; Krohn et al.

Yes

5,463,565; Cookson et al.

Yes

5,473,687; Lipscomb et al.

Yes

5,473,692; Davis

Yes

5,479,509; Ufion

Yes

5,485,622; Yamaki

Yes

5,491,800; Goldsmith et al.

Yes

5,497,479; Hombuckle

Yes

5,497,491; Mitchell etal.

Yes

5,499,298; Narasimhalu et aL

Yes

5,504,757; Cook etal.

Yes

5404,818; Okano

Yes

5404,837; Griffeth et al.

Yes

5,508,913; Yamamoto et al.

Yes

5409,070; Schull

Yes

5,513,261; Maher

Yes

5417,518; Rosen

Yes

5p30,235; Stefik et al.

Yes

5430,752; Rubm

Yes

5p33,123i rorce et al.

Yes

5,534,855; ^nockley et al.

i es

d 7 otetiK et al.

1 Co

J % JjJ % J£f£ty XlCWll

Yes

5,537426; Anderson et al.

Yes

5^39,735; Moskowitz

Yes

5,539,828; Davis

Yes

5,550,971; Brunner etal.

Yes

5,553,282; Parrish et al.

Yes

5457,518; Rosen

Yes

5,557,798; Skeenet al.

Yes

5,563,946; Cooper et al.

Yes

5,568452; Davis

Yes

5472,673; Shurts

Yes

5,592449; Naget etal.

* Any possible "Y a s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 26

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

5,606,609; Houser et al.

Yes

5,613,004; Cooperman et al.

Yes

5,621,797; Rosen

Yes

5 629 770* Brassil et al.

Yes

5 629 980* Stefik et al

Yes

5 633 932- Davis et al

Yes

5 634 012* Stefik et al

Yes

5 636.292- Rhoads

Yes

5 638 443- Stefik et al

Yes

5,638,504; Scott et al.

Yes

5 640.546* GoDinath et al

Yes

5 655 077' Jones et al

Yes

5,678,170; Grube et al.

Yes

5,687,236; Moskowitz et al.

Yes

5 689.587' Bender et al

Y

Yes

5 692 047* McManis

Yes

5 692 180- Lee

Yes

5 710 834* Rhoads

Yes

5 715 403* Stefik

Yes

5 721 788: Powell et al.

Yes

5 732 398* Taeawa

Yes

5 740 549* Reillvetal.

Yes

5 745 604* Rhoads

Yes

5 748 763* Rhoads

Yes

5.748.783: Rhoads

Yes

5 748 960* Fischer

Yes

5,754,849; Dyer et al.

Yes

5 757 914* McManis

Yes

5,75 8 , 1 52; LeTourneau

Y

Yes

5,765,152; Erickson

Yes

5,768,426; Rhoads

Yes

5,774,872; Golden et al.

Yes

5,819,263; Bromley et al.

Yes

5,842,173; Strum etal.

Yes

BE9 00479

Yes

DE 3 803 982

Yes

DE3 803 982A1

Yes

EP 0 084 441

Yes

EP 0 084 441 Al

Yes

EP 0128 672

Yes

EP0 128 672 Al

Yes

EP0135 422

Yes

EP0 135 422 Al

Yes

EP 0180460

Yes

EP 0180 460 Al

Yes

EP 0 370 146

Yes

EP0 370 146 Al

Yes

EP0399 822 A2

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 27

InterTmst Tech. Corp. v. Microsoft Corp.
Case No- C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

y'-'i/C'.' J' ^'/ : 0m00!&^ .'-V.'-'''' |

L-iiL— i.: — — ^.v— ;~ — ! — ^-1— :^^±- ■ •■• ■■■■■■■ »■ —J

Yes

EP0421 409

Yes

EP042I 409 A2

Yes

EP0456 386

Yes

EP0456 386 A2

Yes

EP 0 469 864

Yes

EP 0 469 864 A2

Yes

EP0 469 864 A3

Yes

EP 0565 314

Yes

EP 0565 314 A2

Yes

EP0593 305

Yes

EP0593 305A2

Yes

EP0 651 554

Yes

EP0 651 554 Al

Yes

EP 0 668 695

Yes

EP 0 668 695 A2

Yes

EP 0 668 695 A3

Yes

EP 0 695 985

Yes

EP 0 695 985 Al

Yes

EP 0 696 798

Yes

EP 0 696 798 Al

Yes

EP 0 714 204

Yes

EP0714 204 A2

Yes

EP0 715 243

Yes

EP0 715 243 Al

Yes

EP0715 244

Yes

EP0715 244 Al

Yes

EP 0715 245

Yes

EP0715 245 Al

Yes

EP0715 246

Yes

EP0715 246 Al

Yes

EP0715 247

Yes

EP0715 247 Al

Yes

EP0 725 376

Yes

EP0 725 376 A2

Yes

EP0 749 081

Yes

EP0749 081 Al

Yes

EP0 763 936

Yes

EP0 763 936 A2

Yes

EP 0778 513

Yes

EP 0778 513 A2

Yes

EP0 795 873

Yes

EP 0795 873 A2

Yes

EP 0 800 312

Yes

EP 0 800 312 Al

Yes

GB 2,136,175

Yes

GB 2,264,796

Yes

GB 2,294,348

Yes

GB 2,295,947

* Any possible "Y's that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 28

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

JP 01-068835

Yes

JP 02-242352

Yes

JP 02-247763

Yes

JP 02-294855

Yes

JP 04-369068

TP OS- 181 7*U

Yes

jp 05-257783

Yes

JP 05-268415

Yes

JP 06-175794

Yes

JP 06-215010

Yes

JP 06-225059

Yes

JP 07-056794

Yes

JP 07-084852

Yes

JP 07-141138

Yes

JP 07-2003 17

Yes

JP 07-200492

Yes

JP 07-2446^9

Yes

JP 08-137795

Yes

JP 08-152990

Yes

JP 08-185292

Yes

JP 08-185298

Yes

JP 57-726

Yes

JP 62-241061

Yes

WO 85/02310

Yes

WO 85/03584

Yes

WO 90/02382

Yes

WO 92/06438

Yes

WO 92/22870

Yes

WO 93/01550

Yes

WO 94/01821

Yes

WO 94/03859

Yes

WO 94/06103

Yes

WO 94/16395

Yes

WO 94/18620

Yes

WO 94/22266

Yes

WO 94/27406

Yes

WO 95/14289

Yes

WO 96/00963

Yes

WO 96/03835

Yes

WO 96/05698

Yes

WO 96/06503

Yes

WO 96/13013

Yes

WO 96/21 192

Yes

WO 96/24092

Yes

WO 97/03423

Yes

WO 97/07656

Yes

WO 97/25816

Yes | WO 97/32251

* Any possible rt Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 29

InterTmst Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

Amerke, David, et al, News Release, AT&T, Jan. 9, 1995, AT&T encryption
system protects information services, 1 page.

Yes

Applications Requirements for Innovative Video Programming; How to Foster (or
Cripple) Program Development Opportunities for Interactive Video Programs
Delivered on Optical Media; A Challenge for the Introduction of DVD {Digital
Video Disc) (19-20 Oct. 19

Yes

Argent Information Q&A Sheet, http://www.digiUl~watermarkcorn/ ( Copyright
1995, The DICE Company, 7 pages.

Yes

Automation of Securities Markets and Regulatory Implications, Financial Market
Trends, n50 f p. 20-33, Oct. 1991- [File 148, Gale Group Trade & Industry DB,
DialogfR) commercial database]

Yes

Avery et al, Recommender Systems For Evaluating Computer Messages*
CommunicaUons of the ACM, pp. 88-89 (Mar. 1997V

Yes

Background on the Administration's Telecommunications Policy Reform Initiative,
News Release, The White House, Office of the President, Jan. 1 1, 1994

Yes

Baggett, Claude, Cable's Emerging Role in the Information Superhighway, Cable
Labs, 13 slides.

Yes

Balabanovic et al, Content-based, Collaborative Recommendation,
Commuriications of the ACM, pp. 66-72 (Mar. 1997).

Yes

Barassi, Theodore Sedgwick Esq., The Cybernotary: Public Key Registration and
Certiftcaiton and Authentication of International Legal Transactions, 4 pages.

Yes

Barnes, Hugh, memo to Henry LaMuth, subject: George Gilder articles, May 31,
1994.

Yes

Bart, Dan, Comments in the Matter of Public Hearing and Request for Comments
on the International Aspects of the National Information Infrastructure, Before the
Department of Commerce. Aug. 12. 1994.

Yes

Baum, Michael, Worldwide Electronic Commerce: Law, Policy and Controls
Conference, program details, Nov, 11, 1993.

Yes

Best, Robert M., Digest of Papers, VLSI: New Architectural Horizons, Feb. 1980,
Preventing Software Piracy With Crypto-Microprocessors, pp. 466-469.

Yes

Bisbey, Richard L., II and Gerald J Popek, Encapsulation: An Approach to
Operating System Security, (USC/Information Science Institute, Marina Del Rey,
CA) Oct. 1973, pp. 666-675.

Yes

Blom et al., Encryption Methods in Data Networks, Ericsson Technics, No. 2,
1978, Stockholm, Sweden.

Yes

Burner, Rick E„ "Power Agent, NetBot help advertisers reach Internet shoppers,*
Aug. 1997 (Document from Internet).

Yes

Cable Television and America's Telecommunications Infrastructure, (National
Cable Television Association, Washington, D.C), Apr. 1993, 19 pages.

Yes

Caruso. Denise, Technology, Digital Commerce: 2 plans for watermarks, which can
bind proof of authorship to electronic works, N.Y. Times, Aug. 7, 1995, p. D5.

Yes

CD ROM, Introducing . . . The Workflow CD-ROM Sampler, Creative Networks,
MCIMail: Creative Networks, Inc., Palo Alto, California.

* Any possible "Y-s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 30

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

l <;.^y •': " ■■■■7 •.;<¥' f- 'tlpSM^*'- • ' ■ ' \:>C • i> ^ '. -\

Yes

CGI Common Gateway Interface Document from the Internet,
<cgi@ncsa.uiuc.edu>. 1996. 1 page.

Yes

Chase, Chevy, M.D., DiscStore (Electronic Publishing Resources 1991).

Y

Yes

Chondhury, et al., "Copyright Protection for Electronic Publishing over Computer
Networks/' AT&T Bell Laboratores, Murray Hill, New Jersey 07974 (Jun. 1994).

Yes

Clark, Tim, Ad service gives cash back, Document from the Internet:
<vmw.news.com./News/Item/O l 4 t l3050 l OO.htniI> (visited Aug. 4, 1997), 2 pages.

Yes

Codercard, Spec Sheet-Basic Coder Subsystem (Interstate Electronics Corp.,
Anaheim, CA), (undated) 4 pages.

Yes

Collection of documents including: Protecting Electronically Published Properties,
Increasing Publishing Profits, (Electronic Publishing Resources Inc.) Jan. 1993, 25
paces.

Yes

Communications of the ACM, Intelligent Agents, Jul. 1994, vol. 37, No. 7.

Yes

Communications of the ACM, Jun. 1996, vol. 39, No. 6.

Yes

Computer Systems Policy Project (CSSP), Perpsectives on the National
Information Infrastructure: Ensuring Interoperability (Feb. 1994), Feb. 1994.

Yes

Cunningham, Donna, et al., News Release, AT&T, Jan. 31, 1995, AT&T, VLSI
Technology ioin to improve info highway security, 3 pages.

Yes

Data Sheet, About the Digital Notary Service, Surety Technologies, Inc., 1994-
1995, 6 pages.

I Co

Dempsey, et al., "The Warwick Metadata Workshop: A Framework for the
Deployment of Resource Description", D-Lib Magazine, Jul. 15, 1996.

Yes

Denning et al. f Data Security, 1 1 Computing Surveys No. 3, Sep. 1979, pp. 227-
249.

Yes

Diffie, Whitfield and Martin E. Hellman, IEEE Transactions on Information
Theory, vol. 22, No. 6, Nov. 1976, New Directions in Cryptography, pp. 644-651.

Yes

Diffie, Whitfield and Martin E. Hellman, Proceedings of the IEEE, vol. 67, No. 3,
Mar. 1979, Privacy and Authentication: An Introduction to Cryptography, pp. 397-
427.

Yes

DSP5 6000/DSP5600 1 Digital Signal Processor Usefs Manual, Motorola, 1990, pp.
2-2.

Yes

Dusse, Stephen R- and Burton S. Kaliski, A Cryptographic Library for the
Motorola 56000 in Damgard, I. M., Advances in Cryptology-Proceedings
Eurocrvpt 90, Springer- Verlag. 1991. dd. 230-244.

Yes

Dyson, Esther, Intellectual Value, Wired Magazine, Jul. 1995 7 pp. 136-141 and 182
184.

Yes

EDS Provides PowcrAgent with Internet Services to Support One-to-One
Marketing (PowerAgent Inc. 1997, no later than Aug. 13, 1997).

Yes

EFFector Online vol. 6 No* 6, "A Publication of the Electronic Frontier
Foundation," 8 pages, Dec. 6, 1993.

Yes

EIA and TIA White Paper on National Information Infrastructure, published by the
Electronic Industries Association and the Telecommunications Industry
Association, Washington, D.C., no date.

* Any possible u Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 31

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SB A (MEJ)

APPENDIX OF PRIOR ART*

Yes

Electronic Currency Requirements, XIWT (Cross Industry Working Group), (no
date).

Yes

Electronic Publishing Resources Inc. Protecting Electronically Published Properties
Increasing Publishing Profits (Electronic Publishing Resources 1991).

xes

Firefly Network, Inc., www.ffly.com, What is Firefly? Firefly revision: 4L4
Copyright 1995, 1996.

Yes

First CII Honeywell Bull International Symposium on Computer Security and
Confidentiality, Jan. 26-28, 1981, Conference Text, pp. 1-2L

Yes

Framework for National Information Infrastructure Services, Draft, U.S.
Department of Commerce, Jul. 1994.

Yes

Framework for National Information Infrastructure Services, NIST, Jul. 1994, 12
slides.

Yes

Garcia, D. Linda, Science, space and technology, Hearing before Subcomm. on
Technology, Environment, and Aviation, May 26, 1994 (testimony of D. Linda
Garcia).

Yes

Gleick, James, Dead as a Dollar, The New York Times Magazine, Jun. 16, 1996,
Section 6, pp. 26-30, 35, 42, 50. 54.

Yes

Greguras, Fred, Softie Symposium *95, Copyright Clearances and Moral Rights,
Nov. 30, 1995 (as updated Dec. 11, 1995), 3 pages.

Yes

Guillou, Louis C, Smart Cards and Conditional Access, Advances in Cryptography-
-Proceedings of EuroCrypt 84 (T. Beth et al, Ed., Springer- Verlag, 1985) pp. 480-
490.

Yes

Haar, Steven Vonder, PowerAgent Launches Commercial Service, Interactive
Week Aug. 4, 1997, (Document from the Internet) 1 page.

Yes

Harman, Harry H., Modern Factor Analysis, Third Edition Revised, University of
Chicago Press, Chicago and London, 1976.

Yes

Hearst, Interfaces For Searching the Web Scientific American pp. 68-72 (Mar,
1997).

Yes

Herzberg, Amir et al., Public Protection of Software, ACM Transactions on
Computer Systems, vol. 5. No. 4, Nov. 1987, pp. 371-393.

Yes

Hofmann, Jud, Interfacing the NH to User Homes, (Consumer Electronic Bus.
Corrirnittee) NIST. Jul. 1994 T 12 slides.

X Co

Hofmann, Jud, Interfacing the Nil to User Homes, Electronic Industries
Association, Consumer Electronic Bus Committee, 14 slides, no date.

Yes

Holt, Stannie, Start-up promises user confidentiality in Web marketing service, Info
World Electric, Aug. 13, 1997 (Document from Internet)/ (Infoworld Publishing
Co. Aug. 4, 1997).

Yes

HotJava.TM.: The Security Story Document from the Internet, (no date) 4 pages.

Yes

How Can I Put an Access Counter on My Home Page?, World Wide Web FAQ,
1996, 1 page.

Yes

Multimedia Mixed Objects Envelopes Supporting a Graduated Fee Scheme Via
Encryption, IBM Technical Disclosure Bulletin, vol. 37, No. 3, Mar. 1, 1994, pp.
413-417, XP000441522.

Yes

Transformer Rules Strategy for Software Distribution Mechanism-Support
Products, IBM Technical Disclosure Bulletin, vol. 37, No. 48, Apr. 1994, pp. 523-
525,XP000451335.

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 32

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

ESP Break Out Session Report for Group No. 3, Standards Development and
Tracking System, no date.

Yes

Information Infrastructure Standards Panel: Nil "The Information Superhighway w t
NationsBank--HGDeal-ASC X9, (no date). 15 pages.

Yes

Intellectual Property and the National Information Infrastructure, a Preliminary
Draft of the Report of the Working Group on Intellectual Property Rights, Green
paper. Jul. 1994. 141 pages.

Yes

Invoice? What's an Invoice?, Business Week, Jun. 10, 1996, pp. 1 10-1 12.

Yes

Is Advertising Really Dead?, Wired 1,02, Part 2, 1994.

Yes

Javasoft, Frequently Asked Questions-Applet Security, What's Jaya.TM.? Products
and Services, Java/Soft News, Developer's Cornier, Jun. 7, 1996, 8 pages,
Document from Internet, <iava@iava.sun.com>

Yes

Jiang, et ai, A concept-Based Approach to Retrieval from an Electronic Industrial
Directory, International Journal of Electronic Commerce, vol. 1, No. 1, Fall 1996,
do.51-72.

Yes

Jones, Debra, Top Tech Stories, PowerAgent Introducts First Internet
"Infomediary" to Empower and Protect Consumers, Aug. 13, 1997, 3 pages
(Document from Internet).

Yes

Kautz, Referral Web: Combining Social Networks and Collaborative Filtering,
Communications of the ACM, pp. 63-65 (Mar. 1997).

Yes

Kelly, Kevin, Whole Earth Review, E-Money, pp. 40-59, Summer 1993.

Yes

Kent, Stephen Thomas, Protecting Externally Supplied Software in Small
Computers, (MIT/LCS/TR-255) Sep. 1980, 254 pages.

Yes

Kohntopp, M., Sag's durch die Blume, Apr. 1996, marit@schulung.netuse.de

Yes

Konstan et al, Applying Collaborative Filtering to Usenet News, Communications
of the ACM, pp. 77-87 (Mar. 1997).

Yes

Kristol et al.. Anonymous Internet Mercantile Protocol, AT&T Bell Laboratories,
Murray Hill, New Jersey, Draft: Mar. 17, 1994.

Yes

Lago2e, Carl, D-Lib Magazine, JmVAug. 1996, The Warwick Framework, A
Container Architecture for Diverse Sets of Metadata.

Vac

i es

Lanza, Mike, electronic mail, George Gilder's Fifth Article-Digital Darkhorse—
Newspapers, Feb. 21, 1994.

Yes

Levy, Steven, E-Money, That's What I want, WIRED, Dec. 1994, 10 pages.

Yes

Low et al., Anonymous Credit Cards and its Collusion Analysis, AT&T Bell
Laboratories, Murray Hill, New Jersey, Oct 10, 1994.

Yes

Low et aL, Anonymous Credit Cards, AT&T Bell Laboratories, Proceedings of the
2nd ACM Conference on Computer and Communications Security, Fairfax,
Virginia, Nov. 2-4, 1994.

Yes

Low et al., Document Marking and Identification using both Line and Word
Shifting, AT&T Bell Laboratories, Murray Hill, New Jersey, Jul. 29, 1994.

Yes

Lynch, Searching the Internet Scientific American pp. 52-56 (Mar. 1997).

Yes

Maclachlan, Malcolm, PowerAgent Debuts Spam-Free Marketing, TechWire, Aug.
13, 1997, 3 pages (Document from Internet).

Yes

Maxemchuk, Electronic Document Distribution, AT&T Bell Laboratories, Murray
Hill, New Jersey 07974.

Yes

Micro Card (Micro Card Technologies, Inc., Dallas, TX), (no date), 4 pages.

Yes

Milbrandt, Eric, Stenanography Info and Archive, 1996, 2 pages.

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 33

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Y

Yes

Mori, Ryoichi and Masaji Kawahara, Superdistribution: The Concept and the
Architecture, The Transactions of the EIEICI, V, E73, No. 7, Tokyo, Japan, Jul.
1990.

Yes

Mossberg, Walter $., Personal Technology, Threats to Privacy On-line Become
More Worrisome, Wall Street Journal, Oct. 24, 1996.

Yes

Negroponte, Nicholas, Electronic Word of Mouth, Wired, Oct. 1996, p. 218.

Yes

Negroponte, Nicholas, Some Thoughts on Likely and Expected Communications
Scenarios: A Rebuttal, Telecommunications, Jan. 1993, pp. 41-42.

Yes

Neumann, et al., A Provably Secure Operating System: The System, Its
Applications, and Proofs, Computer Science Labortory Report CSL-1 16, Second
Edition, SRI International (Mav 1980).

Yes

New Products, Systems and Services, AT&T Technology, vol. 9, No. 4, (undated),
pp. 16-19.

Yes

News from The Document Company Xerox, Xerox Announces Software Kit for
Creating Working Documents with Dataglyphs Document from Internet, Nov. 6,
1995, 13 pages.

Yes

Nil, Architecture Requirements, XIWT, (no date).

Yes

Open System Environment Architectural Framework for National Information
Infrastructure Services and Standards, in Support of National Class Distributed
Systems, Distributed System Engineering Program Sponsor Group, Draft 1.0, Aug.
5. 1994.

Yes

Pelton, Dr. Joseph N., Telecommunications, Why Nicholas Negroponte is Wrong
About the Future of Telecommunication, pp. 35-40, Jan. 1993.

Yes

Portland Software's ZipLock, Internet Information, Copyright Portland Software,
1996-1997. 12 pages.

Yes

PowerAgent Introduces First Internet v Infomediary v to Empower and Protect
Consumers (PowerAgent Inc. Aug. 4, 1997).

Yes

PowerAgent Introduces First Internet x lnfomediary* to Empower and Protect
Consumers (PowerAgent Inc., 1997 (no later than Aug. 13, 1997).

Yes

PowerAgent Introduces First Internet "Infomediary" to Empower and Protect
Consumers (Tech Talk Aug. 4, 1997).

Yes

PowerAgent Introduces First Internet ^Infomediary* to Empower and Protect
Consumers (Techmall.com, Aug. 4, 1997),

Yes

PowerAgent Introduces Internet's First True 1:1 Marketing Network (PowerAgent
Inc.. Aug. 4, 1997).

Yes

PowerAgent Press Releases, "What the Experts are Reporting on PowerAgent,"
Aug. 13, 1997, 3 pages (Document from Internet).

Yes

PowerAgent Press Releases, What the Experts are Reporting on PowerAgent, Aug-
13, 1997, 6 pages (Document from Internet).

Yes

PowerAgent Press Releases, What the Experts are Reporting on PowerAgent, Aug.
4, 1997, 5 pages (Document from Internet).

Yes

Premenos Announces Templar 2.0-Next Generation Software for Secure Internet
EDI, Document from Internet: <wcbmaster@templar.ner>, Jan. 17, 1996, 1 page.

* Any possible "Vs that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 34

InterTnist Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

Premenos Corp. White Paper: The Future of Electronic Commerce, A Supplement
to Midrange Systems, Document from Internet, <webiriaster@premenos.com>,
4 pages, no date.

Yes

Press Release, "National Semiconductor and EPR Partner For Information
MeterimVData Security Cards" (Mar. 4, 1994).

ICS

Proper Use of Consumer Information on the Internet, Document from the Internet,
White Paper, (PowerAeent Inc., Melo Park, CA) Jun. 1997, 9 pages.

Yes

Rankine, Gordon, "Thomas—A Complete Single-Chip RSA Device," Advances in
Cryptography, Proceedings of Crypto 86, pp. 48CM87 (A.M. Odlyzko Ed.,
Springer- Verlae 1987V

Yes

Reilly, Arthur K. t Standards committee Tl -Telecommunications, Input to the
'International Telecommunications Hearings," Panel 1: Component Technologies
of the NII/GIL no date.

Yes

Resnick, et aL, Recommender Systerns,Cornmunications of the ACM, vol. 40, No.
3, Mar. 1997. pp. 56-89.

Yes

Resnick, Filtering the Information On the Internet Scientific American pp. 62-64
(Mar. 1997).

I CS

ROI-Solving Critical Electronic Publishing Problems (Personal Library Software,
1987 or 1988).

Yes

Rose, Lance, Cyberspace and the Legal Matrix: Laws or Confusion?, 1991.

I

Rosenthal, Steve, Interactive Newtork: Viewers Get Involved, New Media, Dec.
1992, pp. 30-31.

ICS

Rosenthal, Steve, Interactive TV: The Gold Rush is on, New Media, Dec. 1992, pp.
27-29.

Yes

Rosenthal Steve, Mega Channels, New Media, Sep. 1993, pp. 36-46.

Yes

Rothstein, Edward, Technology, Connections, Making the Internet come to you
through *push x technology, New York Times, Jan. 20, 1997, p. D5.

Yes

Rucker et al, Personalized Navigation For the Web, Communications of the ACM,
pp. 73-75 (Mar. 1997).

Yes

Rutkowski, Ken, PowerAgent Introduces First Internet N Infomediary N to Empower
and Protect Consumers, Tech Talk News Story, Aug. 4 T 1997, 1 page. (Document
from Internet 1 )

Yes

Sager, Ira (Edited by), Bits & Bytes, Business Week, Sep. 23, 1996, p. 142E.

Yes

Schlosstein, Steven, America: The G7's Comeback Kid, Internationa] Economy,
JunTJul. 1993, 5 pages.

Yes

Schurmann, Jurgen, Pattern Classification, A Unified View of Statistical and
Neural Approaches, John Wiley & Sons, Inc., 1996.

Yes

Scnaumueller-BichI, Ingrid, et al., A Method of Software Protection Based on the
Use of Smart Cards and Cryptographic Techniques, (undated), 9 pages.

Yes

Serving the Community: A Public-Interest Vision of the National Information
Infrastructure, Computer Professionals for Social Responsibility, Executive
Summary, no date.

Yes

Shear, Victor, Solutions for CD-ROM Pricing and Data Security Problems, pp. 530
533, CD ROM Yearbook 1988-1989) (Microsoft Press 1988 or 1989).

* Any possible "Y"s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 35

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

Siuda, Karl, Security Services in Telecommunications Networks, Seminar;
Mapping New Applications Onto New Technologies, edited by B. Plattner and P
Gunzbureer; Zurich, Mar. 8-10, 1988, pp. 45-52, XP000215989.

I es

Smith, Sean and J.D. Tyger, Signed Vector Timestamps: A Secure Protocol for
Partial Order Time, CMU-93-1 16, School of Computer Science Carnegie Mellon
University, Pittsburgh, Pennsylvania, Oct. 1991; version of Feb. 1993, 15 pages.

ICS

Special Report, "The Internet: Fulfilling the Promise"; Lynch, Clifford; "The
Internet Bringing Order From Chaos"; Resnick, Paul; "Search the Internet", Hearst,
Marti A; "Filtering Information on the Internet"; Stefik, Mark; "Interfaces for
Searching the

1 Co

Stefik, Mark, Introduction to Knowledge Systems, Chapter 7, Classification
(Morgan Kaufmann Publishers. Inc., 1995) pp. 543-607.

I Ci>

Stefik, Mark, Letting Loose the Light: Igniting Commerce in Electronic
Publication, (Xerox PARC, Palo Alto, CA) 1994-1995, 35 pages.

Yes

Stefik, Mark, Letting Loose the Light: Igniting Commerce In Electronic
Publication, Internet Dreams: Archetypes, Myths, and Metaphors. Massachusetts
Institute of Technoloev. 1996. pp. 219-253.

Yes

Stefik, Trusted Systems Scientific American pp. 78-81 (Mar. 1997).

Yes

Stephenson, Tom, Advanced Imaging, The Info Infrastructure Initiative: Data
SuperHtehways and You, pp. 73-74. May 1993.

res

Sterling, Bruce, "Literary freeware: Not for Commercial Use", remarks at
Computers, Freedom and Privacy Conference IV, Chicago, Mar. 26, 1994.

Yes

Struif, Bruno, The Use of Chipcards for Electronic Signatures and Encryption,
Proceedings for the 1989 Conference on VLSI and Computer Peripherals, IEEE
Computer Society Press. 1989, pp. (4)155-(4)158.

Y^«
I c»

Templar Software and Services: Secure, Reliable, Standards-Based EDI Over the
Internet, Prementos, Internet info@templar.net, J page.

Yes

Templar Overview,: Premenos, Internet info@templar.net, 4 pages.

Yes

Terveen et al, A System For Sharing Recommendations, Communications of the
ACM, pp. 59-62 (Mar. 1997).

Yes

The 1:1 Future of the Electronic Marketplace: Return to a Hunting and Gathering
Society, 2 pages, no date.

Yes

The Benefits of ROI For Database Protection and Usage Based Billing (Personal
Library Software, 1987 or 1988).

Yes

The New Alexandria No. 1, Alexandria Institute, pp. 1-12, Jul.- Aug. 1986.

Yes

This Web Agent Knows What You Like, Business Week, p. 142E (Sep, 23, 1996).

Yes

Tygar, J.D. and Bennet Yee, Cryptography: It's Not Just For Electronic Mail
Anymore, CMU-CS-93-107, School of Computer Science Carnegie Mellon
University, Pittsburgh, PA, Mar. 1, 1993. 21 pages.

Yes

Tygar, J.D. and Bennet Yee, Dyad: A System for Using Physically Secure
Coprocessors, School of Computer Science, Carnegie Mellon University,
Pittsburgh, PA (undated), 41 pages.

Yes

Tygar, J.D, and Bennet Yee, Dyad: A System for Using Physically Secure
Coprocessors, School of Computer Science, Carnegie Mellon University,
Pittsburgh. PA, May 1991, 36 pages.

* Any possible D Y n s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 36

InterTrust Tech. Corp. v. Microsoft Corp.
Case No. C 01-1640 SBA (MEJ)

APPENDIX OF PRIOR ART*

Yes

Valovic, T., The Role of Computer Networking in the Emerging Virtual
Marketplace, Telecommunications, (undated), pp. 40-44.

Yes

Voight, Joan, Beyond the Banner, Wired, Dec. 1996, pp. 196, 200, 204.

Y

Yes

Weber, Metering Technologies for Digital Intellectual Property, A Report to the
International Federation of Reproduction Rights Organisations, pp 1-29; Oct. 1994,
Boston, MA, USA.

Y

Yes

Weber, Robert, Digital Rights Management Technologies, A Report to the
International Federation of Reproduction Rights Organisations, Northeast
Consulting Resources. Inc., Oct. 1995. 49 pages.

Yes

Weber, Robert, Document from the Internet: Digital Rights Management
Technologies, Oct. 1995, 21 pages.

Yes

Weder, Adele, Life on the Infohighway, INSITE, (no date), pp. 23-25.

Yes

Weingart, Steve H., Physical Security for the ABYSS System, (IBM Thomas J.
Watson Research Center, Yorktown Heights, NY), 1987, pp. 52-58.

Yes

Weitzner, Daniel J., A Statement on EFFs Open Platform Campaign as a Nov.,
1993, 3 pa^es.

Yes

WEPIN Store, Stenography (Hidden Writing), Document from Internet (Common
Law), 1995, 1 page.

Yes

White, Steve R. ( ABYSS: A Trusted Architecture for Software Protection, (IBM
Thomas J. Watson Research Center, Yorktown Heights, NY), 1987, pp. 38-50.

Yes

XIWT Cross Industry Working Team, 5 pages, Jul 1994.

Yes

Yee, Bennet, Using Secure Coprocessors, CMU-CS-94-149, School of Computer
Science, Carnegie Mellon University, Pittsburgh, PA, 1994, 94 pages.

Yes

YeJJin, Frank, Document from the Internet: Low Level Security in Java, Sun
Microsystems, 1996, 8 pages.

* Any possible "Y n s that were missed shall not negate the anticipatory nature of a reference, particularly where
there is a chart in Appendix B. 37